Nigel Chaplin

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.

  • Succession Financial Management Limited

    FRN 225831

    • 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
    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (21 Feb 2014 to 6 Apr 2016)
  • SUCCESSION WEALTH MANAGEMENT LIMITED

    FRN 588378

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (28 Feb 2014 to 8 Dec 2019)
  • HC WEALTH MANAGEMENT LIMITED (no longer approved here)

    FRN 592756

    • CF30 Customer (2 Apr 2013 to 3 Mar 2014)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF21 Investment Adviser (4 Aug 2003 to 30 Dec 2004)
    • CF22 Investment Adviser (Trainee) (19 Apr 2002 to 4 Aug 2003)
    • CF1 Director (AR) (19 Apr 2002 to 30 Dec 2004)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF1 Director (AR) (12 Dec 2002 to 26 Jan 2005)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF1 Director (AR) (12 Dec 2002 to 26 Jan 2005)
  • Bluewater Asset Management Ltd (no longer approved here)

    FRN 220952

    • Employed By (12 Dec 2002 to 26 Jan 2005)
  • Bluewater Financial Consultancy Limited (no longer approved here)

    FRN 211013

    • Employed By (19 Apr 2002 to 30 Dec 2004)

Recent activity

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

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