Adrian Keith Neal

Watch for changes

Where they hold approval

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

First Complete Limited
FRN 435779
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF21 Investment Adviser (22 Apr 2005 to 5 Oct 2005)
- CF22 Investment Adviser (Trainee) (13 Jan 2005 to 22 Apr 2005)
Bawtry Financial Planning (no longer approved here)
FRN 214759
- Employed By (13 Jan 2005 to 5 Oct 2005)
Bawtry Financial Services Ltd (no longer approved here)
FRN 409473
- Employed By (26 Nov 2004 to 18 Sep 2008)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF21 Investment Adviser (1 Dec 2001 to 30 May 2003)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.