Nicholas Adam Davies

Last updated
1 week ago
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Where they hold approval

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

  • Ellis Davies Financial Planning Limited

    FRN 938369

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 1 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2021)
    • [FCA CF] Client dealing (since 1 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Apr 2021)
  • Best Practice IFA Group Limited (no longer approved here)

    FRN 223112

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Mar 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Mar 2021)
    • CF1 Director (AR) (20 Mar 2017 to 30 Mar 2021)
    • CF30 Customer (20 Mar 2017 to 30 Mar 2021)
  • Albert Goodman Financial Planning Limited (no longer approved here)

    FRN 148300

    • CF30 Customer (3 Mar 2014 to 17 Nov 2014)
  • Nelsons Solicitors Limited (no longer approved here)

    FRN 523173

    • CF30 Customer (1 Dec 2010 to 31 Dec 2013)
  • The Matrix Model Group (UK) Ltd (no longer approved here)

    FRN 401319

    • CF30 Customer (6 Nov 2009 to 5 Nov 2010)

Recent activity

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

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