Nykki Dale

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Celtic Financial Planning Ltd

    FRN 809204

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 14 Nov 2018)
    • Responsible for Insurance Distribution (since 14 Nov 2018)
    • CF1 Director (14 Nov 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Nov 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Nov 2018 to 8 Dec 2019)
    • CF30 Customer (14 Nov 2018 to 8 Dec 2019)
  • HALTON INSURANCE SERVICES LIMITED (no longer approved here)

    FRN 400359

    • [FCA CF] Client dealing (9 Dec 2019 to 12 Jun 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Jun 2025)
    • CF30 Customer (18 Sep 2019 to 8 Dec 2019)
  • Redfield (no longer approved here)

    FRN 313585

    • CF30 Customer (20 Dec 2013 to 29 Jul 2014)
  • Sense Network Limited (no longer approved here)

    FRN 465124

    • CF30 Customer (16 Jan 2013 to 10 Jan 2014)

Recent activity

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

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