Neil Andrew Maguire

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.

  • Via Wealth Limited

    FRN 469162

    • 21. Advising or arranging (bringing about) equity release transactions
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 1 Jun 2020)
    • [FCA CF] Significant management (since 1 Jun 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Jun 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • Responsible for Insurance Mediation (4 Sep 2009 to 30 Sep 2018)
    • CF1 Director (4 Sep 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Sep 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Sep 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Oct 2007 to 31 Oct 2007)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (18 Jul 2006 to 28 Sep 2007)
  • Law Financial Planning Limited (no longer approved here)

    FRN 228057

    • Employed By (18 Jul 2006 to 28 Sep 2007)
  • Park View Financial Planning Limited (no longer approved here)

    FRN 229206

    • (10)Employed By (21 Feb 2005 to 6 Aug 2006)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (26 Jan 2005 to 9 Mar 2005)
    • CF22 Investment Adviser (Trainee) (13 Jan 2003 to 26 Jan 2005)

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

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