Nicholas Edwin Gardner

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Vesta Wealth Limited

    FRN 567852

    • 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
    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 21 Jul 2022)
    • [FCA CF] Functions requiring qualifications (since 22 Mar 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 3 May 2016)
    • CF11 Money Laundering Reporting (2 Apr 2012 to 21 Dec 2012)
    • CF1 Director (2 Apr 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Apr 2012 to 30 Sep 2018)
    • CF10 Compliance Oversight (2 Apr 2012 to 8 Dec 2019)
    • CF30 Customer (2 Apr 2012 to 8 Dec 2019)
    • CF3 Chief Executive (2 Apr 2012 to 8 Dec 2019)
    • CF29 Significant management (2 Apr 2012 to 8 Dec 2019)
  • Castlegate Financial Management Limited

    FRN 169777

    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 13 Sep 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (1 Apr 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • Investacc Limited

    FRN 154918

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 25 Apr 2016)
    • CF30 Customer (1 Nov 2007 to 21 Dec 2012)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 21 Dec 2012)
  • Investacc Pension Administration Limited

    FRN 518358

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 22 Apr 2026)
    • SMF1 Chief Executive (9 Dec 2019 to 1 Apr 2026)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Apr 2026)
    • CF1 Director (1 Nov 2010 to 8 Dec 2019)
    • CF3 Chief Executive (1 Nov 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Nov 2010 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2010 to 1 Dec 2011)
    • CF10 Compliance Oversight (1 Nov 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2010 to 21 Dec 2012)
  • DHC Financial Management Ltd (no longer approved here)

    FRN 194357

    • Employed By (13 Jun 2001 to 7 Jan 2002)

Recent activity

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

No changes recorded yet.