Nigel Christopher Warner

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.

  • Essential Financial Advisers LLP

    FRN 460001

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 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
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (2 Jan 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
    • Responsible for Insurance Mediation (2 Jan 2007 to 30 Sep 2018)
  • Independent Options (no longer approved here)

    FRN 184103

    • (2)Employed By (1 Oct 1998 to 28 Dec 2006)

Recent activity

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

No changes recorded yet.