Neil John Davis

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.

  • SPECTRUM FINANCIAL SOLUTIONS LIMITED

    FRN 716700

    • (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (7)[FCA CF] Client dealing (since 9 Dec 2020)
    • (8)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (6)SMF3 Executive Director (since 9 Dec 2019)
    • (5)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (4)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (3)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (9)CF1 Director (1 Feb 2016 to 8 Dec 2019)
    • (5)Responsible for Insurance Mediation (1 Feb 2016 to 30 Sep 2018)
    • (6)CF30 Customer (1 Feb 2016 to 8 Dec 2019)
    • (7)CF11 Money Laundering Reporting (1 Feb 2016 to 8 Dec 2019)
    • (8)CF10 Compliance Oversight (1 Feb 2016 to 8 Dec 2019)
  • Obsidian Financial Limited (no longer approved here)

    FRN 509756

    • CF30 Customer (7 Oct 2011 to 28 Dec 2012)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF21 Investment Adviser (19 Mar 2002 to 5 Jul 2002)
  • Town & Country Partnership Financial Services Limited (no longer approved here)

    FRN 206277

    • Employed By (19 Mar 2002 to 13 Aug 2002)

Recent activity

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

  1. controlled function removed: SMF16 Compliance Oversight at SPECTRUM FINANCIAL SOLUTIONS LIMITED

  2. controlled function removed: SMF3 Executive Director at SPECTRUM FINANCIAL SOLUTIONS LIMITED

  3. controlled function removed: [FCA CF] Client dealing at SPECTRUM FINANCIAL SOLUTIONS LIMITED

  4. controlled function removed: [FCA CF] Functions requiring qualifications at SPECTRUM FINANCIAL SOLUTIONS LIMITED

  5. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at SPECTRUM FINANCIAL SOLUTIONS LIMITED

  6. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at SPECTRUM FINANCIAL SOLUTIONS LIMITED

  7. controlled function removed: Responsible for Insurance Distribution at SPECTRUM FINANCIAL SOLUTIONS LIMITED

  8. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at SPECTRUM FINANCIAL SOLUTIONS LIMITED

  9. controlled function added: (5)Responsible for Insurance Mediation at SPECTRUM FINANCIAL SOLUTIONS LIMITED

  10. controlled function added: (6)CF30 Customer at SPECTRUM FINANCIAL SOLUTIONS LIMITED

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