Where they hold approval

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

    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 19 Feb 2026)
    • [FCA CF] Client dealing (since 19 Feb 2026)
    • CF1 Director (AR) (since 22 Jan 2026)
    • CF30 Customer (since 22 Jan 2026)
    • (1)Employed By (since 22 Jan 2026)
  • Continuum (Financial Services) LLP (no longer approved here)

    FRN 802331

    • [FCA CF] Functions requiring qualifications (27 Jul 2022 to 17 Feb 2026)
    • [FCA CF] Client dealing (27 Jul 2022 to 17 Feb 2026)
  • LEBC Group Limited (no longer approved here)

    FRN 760755

    • [FCA CF] Functions requiring qualifications (12 Oct 2021 to 26 Jul 2022)
    • [FCA CF] Client dealing (12 Oct 2021 to 26 Jul 2022)
  • ELLIS BATES WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 631117

    • (182)[FCA CF] Client dealing (12 Dec 2019 to 3 Sep 2021)
    • (183)[FCA CF] Functions requiring qualifications (12 Dec 2019 to 3 Sep 2021)
    • (181)CF30 Customer (27 Jun 2018 to 8 Dec 2019)

Recent activity

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

  1. controlled function added: (181)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD

  2. controlled function added: (182)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  3. controlled function added: (183)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD