Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Shackleton Advisers Limited
FRN 163291
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- [FCA CF] Manager of certification employee (since 4 Apr 2025)
- [FCA CF] Functions requiring qualifications (since 4 Apr 2025)
- [FCA CF] Client dealing (since 4 Apr 2025)
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ELLIS BATES WEALTH MANAGEMENT LTD
FRN 631117
- (58)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- (59)4. Giving personal recommendations on retail investment products which are not broker funds
- (56)[FCA CF] Manager of certification employee (1 Oct 2024 to 7 Apr 2026)
- (57)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
- (55)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
- (54)CF30 Customer (20 Dec 2017 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function added: (59)4. Giving personal recommendations on retail investment products which are not broker funds at ELLIS BATES WEALTH MANAGEMENT LTD