Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- [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)
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- (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.
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controlled function added: (44)Responsibility for MCD Intermediation at ELLIS BATES WEALTH MANAGEMENT LTD
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controlled function added: (45)Responsible for Insurance Distribution at ELLIS BATES WEALTH MANAGEMENT LTD
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controlled function added: (46)Responsible for Insurance Mediation at ELLIS BATES WEALTH MANAGEMENT LTD
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controlled function added: (47)SMF3 Executive Director at ELLIS BATES WEALTH MANAGEMENT LTD
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controlled function added: (48)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD
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controlled function added: (49)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD
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controlled function added: (50)CF1 Director at ELLIS BATES WEALTH MANAGEMENT LTD
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controlled function added: (51)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD