Neil Leslie Williams

Watch for changes

Where they hold approval

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

WESLEYAN FINANCIAL SERVICES LIMITED
FRN 134753
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 23 Jan 2020)
- [FCA CF] Client dealing (since 23 Jan 2020)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (11 May 2016 to 7 Jul 2017)
Willson Grange Ltd (no longer approved here)
FRN 503107
- Employed By (11 May 2016 to 7 Jul 2017)
Nationwide Building Society (no longer approved here)
FRN 106078
- CF30 Customer (21 Jun 2010 to 5 Dec 2012)
HBOS Investment Fund Managers Limited (no longer approved here)
FRN 119223
- CF21 Investment Adviser (15 May 2003 to 5 Jun 2003)
- CF22 Investment Adviser (Trainee) (30 Dec 2002 to 15 May 2003)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.