Neil Stuart Robertson

Last updated
6 days ago
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Where they hold approval

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

  • GWA Asset Management Ltd

    FRN 960246

    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • [FCA CF] Functions requiring qualifications (since 1 Jun 2023)
    • SMF3 Executive Director (since 6 Apr 2023)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (6 Aug 2024 to 7 Aug 2024)
  • Three Counties Limited

    FRN 145005

    • 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 6 Dec 2023)
    • [FCA CF] Functions requiring qualifications (since 6 Dec 2023)
  • Greaves West & Ayre

    FRN 100825

    • 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] Functions requiring qualifications (since 23 Jul 2021)
    • [FCA CF] Manager of certification employee (since 10 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Jul 2021)
    • CF30 Customer (17 Mar 2014 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.