Neal Christopher Griffin

Last updated
2 weeks ago
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Where they hold approval

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

  • Stirling House Financial Services Limited

    FRN 413234

    • 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 (10 May 2011 to 8 Dec 2019)
  • Blackfinch Investments Limited (no longer approved here)

    FRN 153860

    • CF30 Customer (17 Jul 2013 to 24 Sep 2013)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (18 Mar 2011 to 18 Mar 2011)
  • Abacus Wealth Services Ltd (no longer approved here)

    FRN 543264

    • Employed By (18 Mar 2011 to 18 Mar 2011)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Dec 2003)

Recent activity

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

No changes recorded yet.