Nicola Rachel Coates

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • 56 Wealth Management Limited

    FRN 924689

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2020)
    • Responsible for Insurance Distribution (since 1 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Oct 2020)
    • [FCA CF] Client dealing (since 1 Oct 2020)
    • SMF3 Executive Director (since 28 Apr 2020)
    • SMF16 Compliance Oversight (since 28 Apr 2020)
  • CARBON FINANCIAL PARTNERS LIMITED (no longer approved here)

    FRN 536900

    • CF30 Customer (10 Feb 2014 to 15 Dec 2015)
  • VWM Consulting Limited (no longer approved here)

    FRN 401041

    • CF30 Customer (1 Aug 2009 to 21 Apr 2011)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (27 Nov 2008 to 9 Jan 2009)
  • Forvis Mazars Financial Planning Limited (no longer approved here)

    FRN 182644

    • CF30 Customer (1 Nov 2007 to 7 Nov 2008)
    • CF21 Investment Adviser (19 Jan 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.