Neil Andrew Mumford

Last updated
1 week ago
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Where they hold approval

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

  • REEF FINANCIAL LTD

    FRN 451784

    • 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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 13 Sep 2010)
    • CF30 Customer (since 10 May 2010)
    • CF10 Compliance Oversight (4 Apr 2012 to 8 Dec 2019)
  • David Howard Financial Planning Limited (no longer approved here)

    FRN 577828

    • Employed By (26 Oct 2016 to 31 Oct 2016)
  • Peter Neal Pensions LLP (no longer approved here)

    FRN 231099

    • (1)Employed By (1 Jun 2009 to 30 Apr 2010)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF30 Customer (1 Nov 2007 to 21 Dec 2007)
    • CF24 Pension Transfer Specialist (1 Oct 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Feb 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (22 Nov 2006 to 1 Feb 2007)
  • Kenrick Paul Sayers (no longer approved here)

    FRN 192053

    • (10)Employed By (22 Nov 2006 to 21 Dec 2007)

Recent activity

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

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