Nicholas John Henry Davies

Last updated
4 days ago
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Where they hold approval

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

  • Henry Davies Wealth Management Ltd

    FRN 1015489

    • 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
    • SMF3 Executive Director (since 3 Dec 2024)
    • Responsible for Insurance Distribution (since 3 Dec 2024)
    • [FCA CF] Client dealing (since 3 Dec 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Dec 2024)
    • [FCA CF] Functions requiring qualifications (since 3 Dec 2024)
    • SMF16 Compliance Oversight (since 3 Dec 2024)
  • Clifton Compliance Services Ltd (no longer approved here)

    FRN 480676

    • [FCA CF] Client dealing (19 Nov 2021 to 30 Sep 2024)
    • [FCA CF] Functions requiring qualifications (19 Nov 2021 to 30 Sep 2024)
    • Appointed representative dealing with clients for which they require qualification (19 Nov 2021 to 30 Sep 2024)
  • Clifton Wealth Partnership Ltd (no longer approved here)

    FRN 541273

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2024)
    • CF30 Customer (7 Aug 2019 to 8 Dec 2019)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • CF30 Customer (15 Jan 2018 to 1 Jul 2019)
  • Best Practice IFA Group Limited (no longer approved here)

    FRN 223112

    • CF30 Customer (6 Jun 2017 to 16 Jan 2018)
  • Chartered Independent Ltd (no longer approved here)

    FRN 622580

    • Employed By (6 Jun 2017 to 16 Jan 2018)
  • Friendly Life Ltd (no longer approved here)

    FRN 195312

    • (3)Employed By (22 Jan 2001 to 8 Feb 2005)
  • Whitfield Jones IFA (no longer approved here)

    FRN 200310

    • Employed By (21 Jul 2000 to 4 Feb 2002)

Recent activity

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

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