Nicholas Roger Kay

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.

  • WESLEYAN FINANCIAL SERVICES LIMITED

    FRN 134753

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (25 Aug 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (14 Apr 2003 to 25 Aug 2004)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF21 Investment Adviser (27 Nov 2002 to 11 Mar 2003)
  • Bespoke Independent Financial Advisers (no longer approved here)

    FRN 182242

    • Employed By (27 Nov 2002 to 11 Mar 2003)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (30 Oct 2002 to 30 Oct 2002)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 30 Oct 2002)
  • Scottish Widows Administration Services Limited (no longer approved here)

    FRN 139398

    • CF21 Investment Adviser (30 Oct 2002 to 30 Oct 2002)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 30 Oct 2002)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 17 Jul 2002)

Recent activity

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

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