Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Appointed representative dealing with clients for which they require qualification (since 26 Jan 2026)
    • Appointed representative dealing with clients for which they require qualification (15 Jan 2020 to 1 Nov 2021)
  • ELLIS BATES WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 631117

    • (92)[FCA CF] Functions requiring qualifications (29 Nov 2021 to 19 Sep 2022)

Recent activity

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

  1. controlled function added: (92)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD