Nicholas John Yates

Last updated
1 week ago
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Where they hold approval

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

  • Succession Financial Management Limited

    FRN 225831

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (18 Jan 2017 to 8 Dec 2019)
  • SUCCESSION WEALTH MANAGEMENT LIMITED

    FRN 588378

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (18 Jan 2017 to 8 Dec 2019)
  • Aegis Financial Planning Limited (no longer approved here)

    FRN 624298

    • CF30 Customer (8 Apr 2015 to 7 Apr 2017)
  • Demontfort Financial Advisers LLP (no longer approved here)

    FRN 452221

    • Employed By (30 Mar 2015 to 7 Apr 2017)
  • ALLAN INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 446801

    • CF30 Customer (1 Nov 2007 to 28 Oct 2010)
    • CF21 Investment Adviser (1 Mar 2006 to 31 Oct 2007)
    • CF1 Director (1 Mar 2006 to 28 Oct 2010)
  • Bowker Davies Dodgson Ltd (0134) (no longer approved here)

    FRN 179831

    • Employed By (8 Jan 2004 to 24 Dec 2005)

Recent activity

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

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