Neil Mark Williams

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.

  • Shard Capital Partners LLP

    FRN 538762

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • [FCA CF] Material risk taker (since 8 Mar 2021)
    • [FCA CF] Client dealing (since 8 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 8 Mar 2021)
    • [FCA CF] Significant management (since 8 Mar 2021)
  • LGT Wealth Management US Limited (no longer approved here)

    FRN 585547

    • CF30 Customer (2 Apr 2013 to 9 Aug 2018)
    • CF1 Director (2 Apr 2013 to 9 Aug 2018)
  • LGT Wealth Management UK LLP (no longer approved here)

    FRN 471048

    • CF30 Customer (6 Oct 2010 to 16 Jul 2015)

Recent activity

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

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