Neil David Butler

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.

  • Ocean Financial Services Limited

    FRN 789681

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Nov 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 30 Apr 2018)
    • CF10 Compliance Oversight (30 Apr 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (30 Apr 2018 to 30 Sep 2018)
    • CF1 Director (30 Apr 2018 to 8 Dec 2019)
  • Owen and Associates (no longer approved here)

    FRN 146808

    • CF30 Customer (1 Nov 2007 to 28 Dec 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Ocean Financial Services Limited (no longer approved here)

    FRN 154438

    • Employed By (1 Dec 2001 to 28 Dec 2012)

Recent activity

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

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