Neil Patrick Coffey

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Coffey Brooks Financial Services Ltd

    FRN 300657

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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] Client dealing (since 1 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (since 11 Dec 2008)
    • CF1 Director (AR) (12 Apr 2016 to 7 Dec 2022)
    • CF1 Director (30 Jun 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (30 Jun 2009 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (30 Jun 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Jun 2009 to 8 Dec 2019)
  • Coffey Tomkins Financial Services Ltd

    FRN 708463

    • Employed By (since 6 Oct 2015)
  • AJ Protect Ltd (no longer approved here)

    FRN 671608

    • Employed By (3 May 2018 to 10 May 2023)
  • A B & G Independent Limited (no longer approved here)

    FRN 194464

    • Employed By (11 Feb 2005 to 4 Dec 2007)

Recent activity

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

No changes recorded yet.