Neil Harper Surtees

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.

  • Baggette & Company Wealth Management Limited

    FRN 522193

    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (16 Aug 2010 to 30 Jun 2011)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Client dealing (8 Mar 2023 to 14 Apr 2023)
    • [FCA CF] Functions requiring qualifications (8 Mar 2023 to 14 Apr 2023)
  • APEX CB FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 507964

    • CF1 Director (17 Apr 2012 to 1 Feb 2014)
    • CF11 Money Laundering Reporting (17 Apr 2012 to 1 Feb 2014)
    • CF30 Customer (17 Apr 2012 to 28 Feb 2015)

Recent activity

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

No changes recorded yet.