Neal Philip Hall

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Atherton York Limited

    FRN 740345

    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Manager of certification employee (since 4 Jan 2021)
    • Responsibility for MCD Intermediation (since 15 Sep 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (1 Sep 2016 to 8 Dec 2019)
    • CF1 Director (1 Sep 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Sep 2016 to 8 Dec 2019)
    • CF30 Customer (1 Sep 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Sep 2016 to 30 Sep 2018)
  • Sense Network Limited (no longer approved here)

    FRN 465124

    • CF30 Customer (3 Jun 2013 to 1 Sep 2016)
    • CF1 Director (AR) (3 Jun 2013 to 1 Sep 2016)
  • Atherton York Limited (no longer approved here)

    FRN 600978

    • Employed By (3 Jun 2013 to 1 Sep 2016)
  • LIFT-Financial Ltd (no longer approved here)

    FRN 471394

    • CF30 Customer (17 Dec 2009 to 30 May 2013)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (1 Dec 2001 to 2 Jan 2002)

Recent activity

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

No changes recorded yet.