Nicholas Anthony Earl

Last updated
5 days ago
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Where they hold approval

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

  • OT Wealth Limited

    FRN 990759

    • 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] Functions requiring qualifications (since 28 Nov 2023)
    • [FCA CF] Client dealing (since 28 Nov 2023)
    • SMF3 Executive Director (since 28 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Nov 2023)
    • SMF16 Compliance Oversight (since 28 Nov 2023)
    • Responsible for Insurance Distribution (since 28 Nov 2023)
    • [FCA CF] Manager of certification employee (since 28 Nov 2023)
    • [FCA CF] Significant management (28 Nov 2023 to 30 Oct 2024)
    • Responsibility for MCD Intermediation (28 Nov 2023 to 9 Oct 2025)
  • London Money (Financial Services) Ltd (no longer approved here)

    FRN 527092

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Aug 2021)
    • CF30 Customer (5 Feb 2013 to 8 Dec 2019)
  • Wardour Partners Asset Management LLP (no longer approved here)

    FRN 659600

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2023)
    • SMF27 Partner (9 Dec 2019 to 31 Mar 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2023)
    • CF30 Customer (1 Apr 2015 to 8 Dec 2019)
    • CF4 Partner (1 Apr 2015 to 8 Dec 2019)
  • Chevening Financial Ltd (no longer approved here)

    FRN 478268

    • CF30 Customer (9 Aug 2012 to 12 May 2015)
  • Honister Partners Ltd (no longer approved here)

    FRN 502699

    • Employed By (23 Jun 2009 to 2 Jul 2012)

Recent activity

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

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