Nicholas Francis Combes

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.

  • Holder & Combes Limited

    FRN 574786

    • 11. Pension transfer specialist
    • 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 19 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF11 Money Laundering Reporting (3 Sep 2012 to 8 Dec 2019)
    • CF1 Director (3 Sep 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Sep 2012 to 8 Dec 2019)
    • CF30 Customer (3 Sep 2012 to 8 Dec 2019)
  • Holder & Combes Ltd (no longer approved here)

    FRN 481524

    • Employed By (2 May 2008 to 2 Sep 2012)
  • Blueprint Financial Services Ltd (no longer approved here)

    FRN 227242

    • Employed By (23 Aug 2005 to 20 Nov 2006)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF21 Investment Adviser (1 Jun 2005 to 20 Nov 2006)

Recent activity

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

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