Neil Gumsley

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Chattertons Wealth Management Limited

    FRN 766148

    • 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 14 Sep 2022)
    • [FCA CF] Client dealing (since 14 Sep 2022)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 8 May 2021)
    • CF30 Customer (20 Apr 2012 to 6 Mar 2016)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 30 Apr 2012)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF22 Investment Adviser (Trainee) (18 Oct 2002 to 5 Jun 2003)

Recent activity

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

No changes recorded yet.