Nicola Anne Raffle

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.

  • Hampton Financial Services Ltd

    FRN 925583

    • 21. Advising or arranging (bringing about) equity release transactions
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in 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
    • [FCA CF] Significant management (since 26 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Nov 2020)
    • SMF3 Executive Director (since 26 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 26 Nov 2020)
    • Responsibility for MCD Intermediation (since 26 Nov 2020)
    • Responsible for Insurance Distribution (since 26 Nov 2020)
    • SMF16 Compliance Oversight (since 26 Nov 2020)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 11 Nov 2012)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)

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

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