Paul Nicholas Ellis

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 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 (15 Jun 2012 to 27 Dec 2012)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (23 Dec 2009 to 16 Aug 2010)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
    • CF21 Investment Adviser (12 May 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (31 Mar 2004 to 12 May 2004)
  • Andrew Stuart & Company (no longer approved here)

    FRN 153067

    • (3)Employed By (30 Apr 2002 to 7 May 2004)

Recent activity

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

No changes recorded yet.