Nicola Allen

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.

  • RAYMOND JAMES INVESTMENT SERVICES LIMITED

    FRN 194713

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 11 Mar 2026)
    • [FCA CF] Client dealing (since 11 Mar 2026)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • [FCA CF] Client dealing (4 Nov 2024 to 7 Feb 2026)
    • [FCA CF] Functions requiring qualifications (4 Nov 2024 to 7 Feb 2026)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Aug 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 20 Aug 2020)
    • CF30 Customer (18 Feb 2019 to 8 Dec 2019)
  • EQ Investors Limited (no longer approved here)

    FRN 539422

    • CF30 Customer (17 Sep 2015 to 15 Feb 2019)

Recent activity

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

No changes recorded yet.