Nicholas Roger Walton

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 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 14 Jun 2022)
    • [FCA CF] Functions requiring qualifications (since 14 Jun 2022)
  • REGENTIA LIFESTYLE PLANNING LTD (no longer approved here)

    FRN 413890

    • [FCA CF] Client dealing (9 Dec 2019 to 12 Jun 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Jun 2022)
    • CF30 Customer (4 Jan 2017 to 8 Dec 2019)
  • TRULY INDEPENDENT LTD (no longer approved here)

    FRN 513655

    • CF30 Customer (29 Dec 2014 to 10 Mar 2017)
  • Abbey Lane Financial Associates Ltd (no longer approved here)

    FRN 570937

    • Employed By (28 Nov 2012 to 31 Dec 2014)

Recent activity

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

No changes recorded yet.