Nicholas Michael Austin

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.

  • Westward Financial Management Limited

    FRN 430680

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 11 Nov 2022)
    • [FCA CF] Functions requiring qualifications (since 11 Nov 2022)
    • SMF3 Executive Director (since 18 May 2022)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 7 Aug 2002)

Recent activity

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

No changes recorded yet.