Warwick John Alexander Heap

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • SMG F.S LIMITED

    FRN 118158

    • 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 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (5 Sep 2018 to 8 Dec 2019)
  • ELLIS BATES WEALTH MANAGEMENT LTD (no longer approved here)

    FRN 631117

    • (8)CF30 Customer (22 Feb 2016 to 23 Aug 2018)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (9 Aug 2011 to 30 Sep 2012)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (27 Jul 2009 to 7 Apr 2011)

Recent activity

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

  1. controlled function added: (8)CF30 Customer at ELLIS BATES WEALTH MANAGEMENT LTD