Nicola Sutcliffe

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.

  • IM ASSET MANAGEMENT LIMITED

    FRN 402770

    • 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)
    • [FCA CF] Functions requiring qualifications (since 13 Nov 2023)
    • [FCA CF] Client dealing (since 13 Nov 2023)
  • Tenet & You Limited (no longer approved here)

    FRN 455280

    • Employed By (8 Sep 2020 to 18 Sep 2023)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 18 Sep 2023)
    • CF30 Customer (10 Nov 2017 to 18 Sep 2023)
  • Aspire Financial Management Ltd (no longer approved here)

    FRN 568595

    • Employed By (10 Nov 2017 to 18 Sep 2023)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (17 Sep 2015 to 16 May 2016)
  • Alexander House Financial Services Limited (no longer approved here)

    FRN 601371

    • Employed By (17 Sep 2015 to 16 May 2016)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (27 May 2011 to 21 May 2013)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (20 Dec 2007 to 19 Apr 2010)
    • CF21 Investment Adviser (27 Jul 2005 to 5 Feb 2007)
    • CF22 Investment Adviser (Trainee) (17 Jan 2005 to 27 Jul 2005)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (1 Nov 2007 to 12 Nov 2007)
    • CF21 Investment Adviser (30 Aug 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (29 Mar 2007 to 30 Aug 2007)

Recent activity

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

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