Nicholas John Naylor

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.

  • Allenby Capital Limited

    FRN 489795

    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF10 Compliance Oversight (26 Jul 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (26 Jul 2011 to 2 May 2012)
    • CF3 Chief Executive (26 Jul 2011 to 8 Dec 2019)
    • CF1 Director (29 Mar 2010 to 8 Dec 2019)
    • CF30 Customer (14 Jul 2009 to 8 Dec 2019)
  • Robert W. Baird Limited (no longer approved here)

    FRN 124308

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2004)

Recent activity

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

No changes recorded yet.