Where they hold approval

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

  • ELLIS BATES WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 631117

    • (158)[FCA CF] Client dealing (12 Dec 2019 to 30 Aug 2024)
    • (159)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 30 Aug 2024)
    • (157)CF30 Customer (22 May 2015 to 8 Dec 2019)
  • Financial Dimensions UK Ltd (no longer approved here)

    FRN 502399

    • CF30 Customer (3 Aug 2009 to 7 Aug 2012)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF21 Investment Adviser (1 Jun 2005 to 1 Jun 2005)

Recent activity

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

  1. controlled function added: (157)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD

  2. controlled function added: (158)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  3. controlled function added: (159)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD