Nicholas Michael Ellaby

Watch for changes

Where they hold approval

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

Chase de Vere Independent Financial Advisers limited (no longer approved here)
FRN 137914
- [FCA CF] Manager of certification employee (15 May 2024 to 22 Jul 2025)
M&G ADVICE PARTNERS LIMITED (no longer approved here)
FRN 584256
- [FCA CF] Functions requiring qualifications (1 Jul 2020 to 24 Jun 2022)
- [FCA CF] Manager of certification employee (1 Jul 2020 to 24 Jun 2022)
- CF30 Customer (9 Sep 2013 to 15 Sep 2014)
Prudential Distribution Limited (no longer approved here)
FRN 194709
- CF30 Customer (16 Jan 2012 to 9 Sep 2013)
Octagon Consultancy Ltd (no longer approved here)
FRN 230953
- (9)Employed By (29 Mar 2010 to 30 Dec 2011)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.