Nicholas Alistair James Proctor

Last updated
2 weeks ago
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Where they hold approval

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

  • IFS Family Wealth Advisers Ltd

    FRN 409209

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF21 Investment Adviser (6 Dec 2004 to 31 Oct 2007)
    • CF1 Director (6 Dec 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Dec 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Dec 2004 to 8 Dec 2019)
    • CF3 Chief Executive (6 Dec 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (6 Dec 2004 to 31 Mar 2009)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF1 Director (AR) (1 Dec 2001 to 30 Nov 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Nov 2004)
  • Farnham Financial Services Limited (no longer approved here)

    FRN 176436

    • (4)Employed By (1 Dec 2001 to 30 Jan 2004)
  • Independent Financial Strategists (no longer approved here)

    FRN 189012

    • (3)Employed By (1 Dec 2001 to 1 Dec 2004)

Recent activity

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

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