Nicholas Ryan

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Yellow Bear Financial Consultancy LLP

    FRN 744163

    • 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 19 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 19 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF4 Partner (12 Sep 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Sep 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 Sep 2016 to 8 Dec 2019)
    • CF30 Customer (12 Sep 2016 to 8 Dec 2019)
    • Responsibility for MCD Intermediation (12 Sep 2016 to 10 Sep 2020)
    • Responsible for Insurance Mediation (12 Sep 2016 to 30 Sep 2018)
  • Think Smart Finance Limited (no longer approved here)

    FRN 597049

    • CF30 Customer (6 Sep 2013 to 10 Mar 2017)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (25 Jan 2012 to 5 Sep 2013)
  • Think Smart Finance Ltd (no longer approved here)

    FRN 497848

    • Employed By (25 Jan 2012 to 5 Sep 2013)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (23 Nov 2007 to 28 Apr 2011)

Recent activity

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

No changes recorded yet.