Neil Fraser Sheekey

Watch for changes

Where they hold approval

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

Broadgate Wealth Client Servicing LLP
FRN 815602
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 24 Nov 2020)
- [FCA CF] Client dealing (since 24 Nov 2020)
- CF30 Customer (24 Jul 2019 to 8 Dec 2019)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF21 Investment Adviser (4 Oct 2005 to 20 Mar 2006)
- CF22 Investment Adviser (Trainee) (16 Aug 2004 to 4 Oct 2005)
Broadgate Financial Services & Investments (no longer approved here)
FRN 402713
- Employed By (22 Dec 2004 to 20 Mar 2006)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF21 Investment Adviser (26 Mar 2002 to 28 Feb 2003)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 26 Mar 2002)

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.