Neil David Harvey

Watch for changes

Where they hold approval

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

QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 9 Dec 2021)
- CF30 Customer (21 Feb 2013 to 9 Dec 2021)
Quilter Financial Advisers Ltd (no longer approved here)
FRN 452529
- (441)Employed By (21 Feb 2013 to 9 Dec 2021)
Broadview Financial Services Ltd (no longer approved here)
FRN 475431
- Employed By (14 Sep 2010 to 9 Dec 2021)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF30 Customer (1 Nov 2007 to 8 Sep 2010)
- CF21 Investment Adviser (30 Mar 2005 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (9 Nov 2004 to 30 Mar 2005)
RLUM Limited (no longer approved here)
FRN 144032
- CF21 Investment Adviser (1 Dec 2001 to 6 Dec 2004)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.