Neil Stewart Paterson

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.

  • Neil Paterson

    FRN 580832

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2012 to 8 Dec 2019)
    • CF30 Customer (1 Oct 2012 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 19 Nov 2012)
    • CF21 Investment Adviser (2 Apr 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (22 Jan 2002 to 2 Apr 2002)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Jan 2002)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Jan 2002)

Recent activity

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

No changes recorded yet.