Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- (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)
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- CF30 Customer (3 Aug 2009 to 7 Aug 2012)
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- CF21 Investment Adviser (1 Jun 2005 to 1 Jun 2005)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function added: (157)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD
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controlled function added: (158)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD
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controlled function added: (159)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD