David Craig Neale

Last updated
3 weeks ago
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Where they hold approval

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

  • Pi Financial Ltd

    FRN 186419

    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 21 Feb 2018)
    • CF30 Customer (since 28 Aug 2015)
    • Sole trader dealing with clients for which they require qualification (9 Dec 2019 to 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Dec 2019)
  • South & West Yorkshire IFA Limited

    FRN 801431

    • (1)Employed By (since 19 Feb 2018)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (29 Jun 2011 to 12 Sep 2014)

Recent activity

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

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