Nicola Millington

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 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 3 Sep 2024)
    • [FCA CF] Client dealing (since 3 Sep 2024)
  • STERLING NORTH LTD

    FRN 599275

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF10 Compliance Oversight (11 Jul 2013 to 8 Dec 2019)
    • CF1 Director (11 Jul 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jul 2013 to 8 Dec 2019)
    • CF30 Customer (11 Jul 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Jul 2013 to 30 Sep 2018)
  • AFFINITY FINANCIAL ADVISORS LIMITED (no longer approved here)

    FRN 457234

    • CF30 Customer (10 Oct 2008 to 17 Jul 2013)

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

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