Neil Frederick Tracey

Last updated
5 days ago
Watch for changes

Where they hold approval

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

  • Sage Advice Limited

    FRN 974610

    • 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 7 Oct 2022)
    • [FCA CF] Client dealing (since 7 Oct 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Sep 2022)
    • SMF16 Compliance Oversight (since 28 Sep 2022)
    • Responsible for Insurance Distribution (since 28 Sep 2022)
    • SMF3 Executive Director (since 28 Sep 2022)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Functions requiring qualifications (27 Aug 2020 to 5 Feb 2021)
    • [FCA CF] Client dealing (27 Aug 2020 to 5 Feb 2021)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF1 Director (AR) (4 Dec 2007 to 5 Aug 2008)
    • CF30 Customer (4 Dec 2007 to 5 Aug 2008)
  • Mitchell Griffin Wealth Management Limited (no longer approved here)

    FRN 458602

    • CF30 Customer (1 Nov 2007 to 24 Jul 2014)
    • CF21 Investment Adviser (16 Feb 2007 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (16 Feb 2007 to 31 Oct 2007)
  • Lexington Financial Planning Ltd (no longer approved here)

    FRN 195375

    • Employed By (12 Jan 2005 to 20 May 2005)
  • Equilibrium Wealth Management Limited (no longer approved here)

    FRN 182132

    • (8)Employed By (10 Jan 2003 to 30 Dec 2004)

Recent activity

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

No changes recorded yet.