Neil Harvey Plaister

Last updated
1 week ago
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Where they hold approval

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

  • Assured Independent Financial Services Ltd

    FRN 716340

    • 21. Advising or arranging (bringing about) equity release transactions
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (9 May 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 May 2016 to 30 Sep 2018)
    • CF1 Director (3 May 2016 to 8 Dec 2019)
  • Assured Independent Financial Services Ltd (no longer approved here)

    FRN 500817

    • Employed By (19 May 2009 to 29 Apr 2016)
  • ADVISER BUSINESS SOLUTIONS LIMITED (no longer approved here)

    FRN 190181

    • CF22 Investment Adviser (Trainee) (20 Feb 2006 to 2 Oct 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (7 Jul 2005 to 3 Mar 2006)
    • CF21 Investment Adviser (1 Dec 2001 to 14 Feb 2005)

Recent activity

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

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