Neil Henderson

Last updated
6 days ago
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Where they hold approval

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

  • Mission Financial Planning Limited

    FRN 955889

    • 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 22 Nov 2021)
    • Responsible for Insurance Distribution (since 22 Nov 2021)
    • SMF16 Compliance Oversight (since 22 Nov 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Nov 2021)
    • SMF3 Executive Director (since 22 Nov 2021)
    • [FCA CF] Client dealing (since 22 Nov 2021)
  • Perspective (North East) Limited (no longer approved here)

    FRN 150317

    • [FCA CF] Client dealing (9 Dec 2019 to 21 May 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 May 2021)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 21 May 2021)
    • CF30 Customer (29 Apr 2009 to 20 May 2021)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 20 Mar 2009)
    • CF21 Investment Adviser (20 Jul 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (14 Jun 2004 to 20 Jul 2005)

Recent activity

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

No changes recorded yet.