Nicholas Upton

Last updated
3 weeks ago
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Where they hold approval

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

  • Best Practice IFA Group Limited

    FRN 223112

    • 9A. Advising on P2P agreements
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (AR) (14 Sep 2007 to 1 Mar 2010)
    • CF21 Investment Adviser (5 Aug 2003 to 31 Oct 2007)
  • Benchmark Financial Planning Limited

    FRN 227247

    • Employed By (since 9 Oct 2015)
    • Employed By (31 Mar 2015 to 31 Mar 2015)
  • Ian Cooke & Partners (1296) (no longer approved here)

    FRN 163348

    • (8)Employed By (24 Dec 1998 to 29 Aug 2003)

Recent activity

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

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