Neil Reader

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.

  • ASCOT LLOYD FINANCIAL PLANNING LIMITED

    FRN 144519

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 12 May 2023)
    • [FCA CF] Client dealing (since 12 May 2023)
  • Leagold Limited (no longer approved here)

    FRN 121398

    • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Feb 2023)
    • [FCA CF] Significant management (9 Dec 2019 to 28 Feb 2023)
    • CF30 Customer (1 Aug 2018 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 31 Dec 2015)
    • CF21 Investment Adviser (1 Aug 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (4 Aug 2005 to 1 Aug 2007)
  • Espiene Ltd (no longer approved here)

    FRN 413974

    • CF1 Director (13 Dec 2004 to 1 Sep 2005)
    • CF11 Money Laundering Reporting (13 Dec 2004 to 1 Sep 2005)
    • CF21 Investment Adviser (13 Dec 2004 to 23 Dec 2005)

Recent activity

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

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