Nicola Sarah Whateley

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.

  • Whateley Wealth Management Limited

    FRN 715678

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 19 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 19 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF11 Money Laundering Reporting (4 Jan 2016 to 8 Dec 2019)
    • CF1 Director (4 Jan 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Jan 2016 to 8 Dec 2019)
    • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (4 Jan 2016 to 30 Sep 2018)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (23 Jul 2013 to 13 Aug 2013)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (8 Apr 2013 to 13 Aug 2013)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (4 Oct 2010 to 11 Nov 2012)

Recent activity

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

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