Nicholas David Etheridge

Last updated
3 weeks ago
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Where they hold approval

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

  • WESLEYAN FINANCIAL SERVICES LIMITED

    FRN 134753

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (22 Sep 2009 to 8 Dec 2019)
    • CF21 Investment Adviser (26 Jul 2004 to 7 May 2007)
    • CF22 Investment Adviser (Trainee) (19 Nov 2003 to 26 Jul 2004)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (1 Nov 2007 to 11 Sep 2009)
    • CF21 Investment Adviser (7 May 2007 to 31 Oct 2007)
  • Wesleyan Assurance Society (no longer approved here)

    FRN 110873

    • CF22 Investment Adviser (Trainee) (4 Nov 2003 to 19 Nov 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 27 May 2003)
  • Wesleyan Unit Trust Managers Limited (no longer approved here)

    FRN 175798

    • CF22 Investment Adviser (Trainee) (4 Nov 2003 to 19 Nov 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 27 May 2003)

Recent activity

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

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