Nicholas Robert Johnson

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Where they hold approval

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

Yorkshire Independent Financial Advisers Limited (no longer approved here)
FRN 474338
- Responsibility for MCD Intermediation (10 Oct 2016 to 31 Jan 2017)
- Responsible for Insurance Mediation (5 Nov 2012 to 31 Jan 2017)
- CF10 Compliance Oversight (21 Aug 2012 to 31 Jan 2017)
- CF3 Chief Executive (21 Aug 2012 to 31 Jan 2017)
- CF30 Customer (26 Nov 2007 to 1 Sep 2015)
- CF1 Director (26 Nov 2007 to 22 Nov 2010)
Peter Howard Financial Services Ltd (no longer approved here)
FRN 516003
- (1)Employed By (6 Mar 2013 to 31 Jan 2017)
Ware & Kay Financial Services Ltd (no longer approved here)
FRN 589926
- Employed By (6 Mar 2013 to 31 Jan 2017)
Titan Private Wealth Limited (no longer approved here)
FRN 226392
- CF30 Customer (9 Mar 2009 to 30 Apr 2010)
Aviva Life & Pensions UK Limited (no longer approved here)
FRN 185896
- CF10 Compliance Oversight (1 Dec 2001 to 7 Apr 2004)

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.