Nicola Giselle Cave

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.

  • Eldercare Solutions Limited

    FRN 603598

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF10 Compliance Oversight (26 Nov 2013 to 8 Dec 2019)
    • CF1 Director (26 Nov 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (26 Nov 2013 to 8 Dec 2019)
    • CF30 Customer (26 Nov 2013 to 8 Dec 2019)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Nov 2007 to 22 Nov 2013)
    • CF1 Director (AR) (20 Jul 2006 to 5 Jan 2007)
    • CF21 Investment Adviser (20 Jul 2006 to 31 Oct 2007)
  • Ayot Mead Ltd (no longer approved here)

    FRN 454032

    • Employed By (20 Jul 2006 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.