Nicholas Steven Barratt

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.

  • Ascot Lloyd Limited

    FRN 578614

    • 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 1 Jul 2025)
    • [FCA CF] Client dealing (since 1 Jul 2025)
  • Whitechurch Securities Limited (no longer approved here)

    FRN 114318

    • [FCA CF] Client dealing (15 Aug 2022 to 1 Jul 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2025)
    • CF30 Customer (19 May 2011 to 8 Dec 2019)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (1 Nov 2007 to 29 Feb 2008)
    • CF21 Investment Adviser (10 Oct 2006 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 11 Oct 2006)

Recent activity

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

No changes recorded yet.