Nicola Carol Peake

Watch for changes

Where they hold approval

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

Swann Financial Limited (no longer approved here)
FRN 451053
- (1)Employed By (21 Feb 2019 to 17 Jan 2020)
Woodcote Wealth Management Ltd (no longer approved here)
FRN 485073
- Employed By (16 May 2016 to 17 Jan 2020)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (26 May 2015 to 17 Jan 2020)
NATIONAL FARMERS UNION MUTUAL INSURANCE SOCIETY LIMITED(THE) (no longer approved here)
FRN 117664
- CF30 Customer (26 Oct 2010 to 13 Apr 2015)
Honister Partners Ltd (no longer approved here)
FRN 502699
- Employed By (23 Jun 2009 to 3 Nov 2010)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF30 Customer (1 Nov 2007 to 29 Feb 2008)
- CF21 Investment Adviser (20 Feb 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (10 Mar 2004 to 20 Feb 2006)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.