Neil Arthur Jefferies

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Adroit Financial Planning Limited

    FRN 579324

    • 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] Functions requiring qualifications (since 20 Feb 2024)
    • [FCA CF] Client dealing (since 20 Feb 2024)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 16 Feb 2026)
    • Responsible for Insurance Distribution (1 Oct 2018 to 16 Feb 2026)
    • Responsible for Insurance Mediation (2 Jul 2018 to 30 Sep 2018)
    • CF30 Customer (21 Dec 2015 to 21 Jan 2019)
    • CF1 Director (21 Dec 2015 to 8 Dec 2019)
  • Brooks Macdonald Asset Management Limited (no longer approved here)

    FRN 184918

    • [FCA CF] Material risk taker (25 Apr 2023 to 30 Jun 2025)
  • Tees Financial Limited (no longer approved here)

    FRN 211314

    • CF10 Compliance Oversight (16 Nov 2012 to 30 Nov 2015)
    • CF30 Customer (16 Nov 2012 to 30 Nov 2015)
    • Responsible for Insurance Mediation (16 Nov 2012 to 30 Nov 2015)
    • CF1 Director (1 Nov 2012 to 30 Nov 2015)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF30 Customer (1 Nov 2007 to 15 Oct 2012)
    • CF21 Investment Adviser (24 Feb 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (22 Dec 2004 to 24 Feb 2005)

Recent activity

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

No changes recorded yet.