Nicholas John Humble

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.

  • Henry F Dodds Wealth Management Limited

    FRN 144716

    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (10 Aug 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (21 Jul 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Oct 2005 to 21 Jul 2006)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF22 Investment Adviser (Trainee) (20 Jan 2005 to 26 Aug 2005)
  • First Choice Estates (no longer approved here)

    FRN 201152

    • Employed By (20 Jan 2005 to 26 Aug 2005)

Recent activity

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

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