Nicholas William Oliver

Last updated
5 days ago
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Where they hold approval

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

  • Oliver Wealth Ltd

    FRN 979804

    • 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 Mar 2023)
    • Responsible for Insurance Distribution (since 1 Mar 2023)
    • SMF16 Compliance Oversight (since 1 Mar 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Mar 2023)
    • SMF3 Executive Director (since 1 Mar 2023)
    • [FCA CF] Client dealing (since 1 Mar 2023)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 28 Feb 2023)
    • CF30 Customer (5 Mar 2018 to 28 Feb 2023)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (5 Dec 2014 to 30 Oct 2015)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 26 Jun 2014)
    • CF21 Investment Adviser (15 Oct 2007 to 31 Oct 2007)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF21 Investment Adviser (20 Sep 2004 to 21 Sep 2007)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF21 Investment Adviser (20 Sep 2004 to 21 Sep 2007)

Recent activity

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

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