Oliver Nicholas Shields

Last updated
6 days ago
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Where they hold approval

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

  • Shields Wealth Planning Ltd

    FRN 926565

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • Responsible for Insurance Distribution (since 4 Jan 2021)
    • SMF16 Compliance Oversight (since 4 Jan 2021)
    • SMF3 Executive Director (since 4 Jan 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Vision Independent Financial Planning Ltd (no longer approved here)

    FRN 487395

    • CF30 Customer (9 Oct 2013 to 31 Dec 2020)
    • CF1 Director (AR) (9 Oct 2013 to 31 Dec 2020)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Jun 2011 to 6 Sep 2013)
    • CF21 Investment Adviser (17 Mar 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (11 Jul 2002 to 17 Mar 2003)

Recent activity

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

No changes recorded yet.