Nicholas Simon Mark Shaw

Last updated
1 week ago
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Where they hold approval

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

  • Crawford Financial Planning Limited

    FRN 785085

    • 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] Functions requiring qualifications (since 14 Nov 2025)
    • [FCA CF] Client dealing (since 14 Nov 2025)
  • Allisons Financial Planning Limited (no longer approved here)

    FRN 808678

    • [FCA CF] Client dealing (2 Sep 2024 to 2 Oct 2024)
    • [FCA CF] Functions requiring qualifications (2 Sep 2024 to 2 Oct 2024)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (18 May 2024 to 27 Aug 2024)
    • Appointed representative dealing with clients for which they require qualification (18 Mar 2024 to 27 Aug 2024)
  • Nicholas Shaw (no longer approved here)

    FRN 1012664

    • (1)Employed By (18 May 2024 to 27 Aug 2024)
  • Rathbones Investment Management Limited (no longer approved here)

    FRN 116316

    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 2 May 2019)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF27 Investment Management (24 Aug 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.