Nicholas Compton

Watch for changes

Where they hold approval

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

QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Mar 2021)
- CF30 Customer (6 May 2015 to 2 Mar 2021)
Warwick Road Financial Services Ltd (no longer approved here)
FRN 656015
- Employed By (28 Apr 2015 to 2 Mar 2021)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF30 Customer (24 Apr 2013 to 20 May 2015)
- CF21 Investment Adviser (14 May 2007 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (12 Feb 2007 to 15 May 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.