Nicholas David Somers

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.

  • Oakham Wealth Management Ltd (no longer approved here)

    FRN 431206

    • CF2 Non Executive Director (17 Mar 2015 to 22 Apr 2015)
    • CF11 Money Laundering Reporting (21 May 2014 to 3 Dec 2014)
    • CF10a CASS Oversight function (1 Oct 2011 to 1 Aug 2012)
    • CF1 Director (17 May 2011 to 17 Mar 2015)
    • CF29 Significant management (1 Nov 2007 to 15 Jul 2011)
    • CF30 Customer (1 Nov 2007 to 12 Sep 2011)
    • CF17 Significant Mgt (Other Business Operations) (30 Aug 2006 to 31 Oct 2007)
    • CF26 Customer Trading (30 Aug 2006 to 31 Oct 2007)
  • Bordier & Cie (UK) PLC (no longer approved here)

    FRN 114324

    • CF26 Customer Trading (1 Dec 2001 to 17 Mar 2005)

Recent activity

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

No changes recorded yet.