Nicolas Christopher Kaine

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.

  • Shackleton Advisers Limited

    FRN 163291

    • 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] Client dealing (since 6 Feb 2026)
    • [FCA CF] Functions requiring qualifications (since 6 Feb 2026)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 4 Dec 2025)
    • CF30 Customer (26 Oct 2015 to 4 Dec 2025)
  • Chris Kaine (no longer approved here)

    FRN 722375

    • Employed By (26 Oct 2015 to 12 Jan 2026)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (2 Oct 2008 to 2 Oct 2014)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (1 Jan 2003 to 26 Sep 2003)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 29 Nov 2002)

Recent activity

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

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