Kim Holding

Last updated
3 weeks ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Rathbones Investment Management Limited

    FRN 116316

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2025)
    • [FCA CF] Client dealing (since 17 Jul 2025)
  • ELLIS BATES WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 631117

    • (98)[FCA CF] Functions requiring qualifications (15 Nov 2021 to 1 Nov 2024)
    • (97)[FCA CF] Client dealing (15 Nov 2021 to 9 Jan 2025)
  • Tees Financial Limited (no longer approved here)

    FRN 211314

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Mar 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 20 Mar 2020)
    • CF30 Customer (8 Nov 2016 to 8 Dec 2019)

Recent activity

Updates to this individual's record on the FCA register.

  1. controlled function added: (97)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  2. controlled function added: (98)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD