Sara Guy

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Shackleton Advisers Limited

    FRN 163291

    • 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] Client dealing (since 4 Apr 2025)
    • [FCA CF] Functions requiring qualifications (since 4 Apr 2025)
  • ELLIS BATES WEALTH MANAGEMENT LTD

    FRN 631117

    • (18)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (19)4. Giving personal recommendations on retail investment products which are not broker funds
    • (16)[FCA CF] Client dealing (12 Dec 2019 to 7 Apr 2026)
    • (17)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 7 Apr 2026)
    • (15)CF30 Customer (1 Apr 2019 to 8 Dec 2019)

Recent activity

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

  1. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at ELLIS BATES WEALTH MANAGEMENT LTD

  2. controlled function removed: [FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD

  3. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at ELLIS BATES WEALTH MANAGEMENT LTD

  4. controlled function removed: [FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  5. controlled function added: (15)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD

  6. controlled function added: (16)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  7. controlled function added: (17)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD

  8. controlled function added: (18)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at ELLIS BATES WEALTH MANAGEMENT LTD

  9. controlled function added: (19)4. Giving personal recommendations on retail investment products which are not broker funds at ELLIS BATES WEALTH MANAGEMENT LTD