Tom Smallwood

Last updated
1 month ago
Watch for changes

Where they hold approval

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

  • ELLIS BATES WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 631117

    • (171)[FCA CF] Client dealing (1 Jul 2021 to 4 Apr 2022)
    • (172)[FCA CF] Functions requiring qualifications (1 Jul 2021 to 4 Apr 2022)

Recent activity

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

  1. controlled function added: (171)[FCA CF] Client dealing at ELLIS BATES WEALTH MANAGEMENT LTD

  2. controlled function added: (172)[FCA CF] Functions requiring qualifications at ELLIS BATES WEALTH MANAGEMENT LTD