FLOREAT WEALTH MANAGEMENT LIMITED

FLOREAT WEALTH MANAGEMENT LIMITED of HERTFORDSHIRE is an SEC exempt reporting adviser (CRD 309463).

Registration

Officers, owners & control persons (11)

NameRoleLocation
Hussam OtaibiDIRECTOR; SHAREHOLDEROne Nexus Way, Camana Bay, E9
James WilcoxDIRECTORWorthington, OH
Mutaz OtaibiDIRECTOR; SHAREHOLDER—
Nigel HastingsCHIEF INVESTMENT OFFICER—
David Richard AllanCOMPLIANCE MANAGER—
CAMPBELL JULIAN VINCENTHEAD OF COMPLIANCE—
OTAIBI MUTAZDIRECTOR; SHAREHOLDER—
OTAIBI HUSSAMDIRECTOR; SHAREHOLDER—
WILCOX JAMESDIRECTOR—
HASTINGS NIGELCHIEF INVESTMENT OFFICER—
ALLAN DAVID RICHARDCOMPLIANCE MANAGER—

Disclosures (1)

InitiatedTypeAllegationsStatusAmount
2013-09-19regulatoryTHE DIRECTORS (INCLUDING NIGEL HASTINGS) OF AN ITALIAN ASSET MANAGER DID NOT ACT IN THE INTERESTS OF ITS INVESTORS IN A DILIGENT AND CORRECT MANNER, AND FAILED TO IDENTITY AND EFFECTIVELY MANAGE CONFLICTS OF INTEREST.Final$5K

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