Nicholas Charles Barraclough

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.

  • Succession Financial Management Limited

    FRN 225831

    • 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] Client dealing (since 9 May 2023)
    • [FCA CF] Functions requiring qualifications (since 9 May 2023)
  • SUCCESSION WEALTH MANAGEMENT LIMITED

    FRN 588378

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 9 May 2023)
    • [FCA CF] Client dealing (since 9 May 2023)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (4 Nov 2013 to 31 Dec 2013)
  • The Partners of the Private Office LLP (no longer approved here)

    FRN 490188

    • Employed By (4 Nov 2013 to 31 Dec 2013)
  • W.DENIS FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 120918

    • CF30 Customer (1 Nov 2007 to 21 Oct 2013)
    • CF21 Investment Adviser (14 Sep 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (12 Feb 2007 to 31 Oct 2007)

Recent activity

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

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