Sarah Louise Nelis

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.

  • Eastern Financial Consultants Ltd

    FRN 952886

    • 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 6 Nov 2025)
    • [FCA CF] Functions requiring qualifications (since 6 Nov 2025)
  • ADMS Asset Management Limited

    FRN 569871

    • 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 14 Apr 2025)
    • [FCA CF] Functions requiring qualifications (since 14 Apr 2025)
  • D B Financial Management Limited

    FRN 522214

    • 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 3 Jun 2021)
    • [FCA CF] Client dealing (since 3 Jun 2021)
  • Insight Financial Associates Limited

    FRN 458421

    • 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 17 May 2021)
    • [FCA CF] Client dealing (since 17 May 2021)
  • ROBERT GERRARD & WESTBROOK LIMITED (no longer approved here)

    FRN 188640

    • [FCA CF] Functions requiring qualifications (14 Oct 2024 to 19 Jan 2026)
    • [FCA CF] Client dealing (14 Oct 2024 to 19 Jan 2026)
  • WPS ADVISORY Ltd (no longer approved here)

    FRN 624546

    • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 30 Apr 2021)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (27 Feb 2014 to 6 Mar 2016)

Recent activity

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

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