Where they hold approval

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

  • Shackleton Advisers Limited (no longer approved here)

    FRN 163291

    • [FCA CF] Client dealing (4 Apr 2025 to 31 Jan 2026)
    • [FCA CF] Functions requiring qualifications (4 Apr 2025 to 31 Jan 2026)
    • [FCA CF] Manager of certification employee (17 Jan 2025 to 31 Jan 2026)
  • ELLIS BATES WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 631117

    • (51)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 31 Jan 2026)
    • (49)[FCA CF] Client dealing (12 Dec 2019 to 31 Jan 2026)
    • (47)SMF3 Executive Director (9 Dec 2019 to 1 Dec 2025)
    • (45)Responsible for Insurance Distribution (1 Oct 2018 to 1 Dec 2025)
    • (44)Responsibility for MCD Intermediation (16 May 2018 to 5 Jun 2025)
    • (46)Responsible for Insurance Mediation (2 Feb 2015 to 30 Sep 2018)
    • (48)CF30 Customer (2 Feb 2015 to 8 Dec 2019)
    • (50)CF1 Director (2 Feb 2015 to 8 Dec 2019)

Recent activity

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

  1. controlled function added: (44)Responsibility for MCD Intermediation at ELLIS BATES WEALTH MANAGEMENT LTD

  2. controlled function added: (45)Responsible for Insurance Distribution at ELLIS BATES WEALTH MANAGEMENT LTD

  3. controlled function added: (46)Responsible for Insurance Mediation at ELLIS BATES WEALTH MANAGEMENT LTD

  4. controlled function added: (47)SMF3 Executive Director at ELLIS BATES WEALTH MANAGEMENT LTD

  5. controlled function added: (48)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD

  6. controlled function added: (49)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  7. controlled function added: (50)CF1 Director at ELLIS BATES WEALTH MANAGEMENT LTD

  8. controlled function added: (51)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD