Neil Broadhurst

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.

  • Simple Financial Planning Ltd

    FRN 617941

    • 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 12 Jul 2022)
    • [FCA CF] Client dealing (since 12 Jul 2022)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • [FCA CF] Client dealing (7 Sep 2020 to 31 Aug 2022)
    • Appointed representative dealing with clients for which they require qualification (7 Sep 2020 to 31 Aug 2022)
    • CF1 Director (AR) (26 Aug 2020 to 31 Aug 2022)
    • CF30 Customer (26 Aug 2020 to 31 Aug 2022)
  • Active Money Scotland Ltd (no longer approved here)

    FRN 931494

    • Employed By (26 Aug 2020 to 31 Aug 2022)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (19 Oct 2011 to 13 Apr 2012)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 29 Oct 2011)
    • CF22 Investment Adviser (Trainee) (3 Apr 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.