Neil David Lacey

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (6 Sep 2012 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 17 Jan 2013)
    • CF21 Investment Adviser (27 Sep 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Aug 2006 to 27 Sep 2006)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF7 Sole Trader (AR) (21 Feb 2006 to 28 Dec 2006)
    • CF1 Director (AR) (1 Dec 2001 to 20 Feb 2006)
    • CF21 Investment Adviser (1 Dec 2001 to 28 Dec 2006)
  • Finance Matters (no longer approved here)

    FRN 448309

    • Employed By (21 Feb 2006 to 28 Dec 2006)
  • Aspect Financial Planning Ltd (no longer approved here)

    FRN 192381

    • Employed By (1 Dec 2001 to 28 Dec 2006)

Recent activity

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

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