Nigel Nicholas Shaffer

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.

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 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 11 May 2020)
    • [FCA CF] Client dealing (since 11 May 2020)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (11 Jan 2016 to 19 May 2020)
  • Radcliffe and Newlands Ltd (no longer approved here)

    FRN 457283

    • Employed By (11 Jan 2016 to 7 Sep 2020)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF7 Sole Trader (AR) (21 Sep 2005 to 19 Dec 2005)
    • CF22 Investment Adviser (Trainee) (21 Sep 2005 to 1 Mar 2006)

Recent activity

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

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