Nicholas Charles Ashwell

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • AFH Independent Financial Services Limited

    FRN 216704

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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
    • [FCA CF] Functions requiring qualifications (since 14 Dec 2023)
    • [FCA CF] Client dealing (since 14 Dec 2023)
  • ELLIS BATES WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 631117

    • (170)[FCA CF] Functions requiring qualifications (19 Apr 2022 to 27 Oct 2023)
    • (169)[FCA CF] Client dealing (19 Apr 2022 to 27 Oct 2023)
  • GILLINGHAMS INDEPENDENT FINANCIAL ADVISERS LIMITED (no longer approved here)

    FRN 609295

    • [FCA CF] Client dealing (4 May 2021 to 31 Mar 2022)
    • [FCA CF] Functions requiring qualifications (4 May 2021 to 31 Mar 2022)
  • Attivo Financial Planning Limited (no longer approved here)

    FRN 451967

    • Employed By (5 Sep 2017 to 4 Dec 2017)
  • Attivo Financial Services Limited (no longer approved here)

    FRN 462105

    • CF30 Customer (4 Sep 2017 to 4 Dec 2017)
  • KW Wealth Planning Limited (no longer approved here)

    FRN 114694

    • CF30 Customer (2 Sep 2015 to 31 Aug 2017)

Recent activity

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

  1. controlled function added: (169)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  2. controlled function added: (170)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD