Neil Walker

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.

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • [FCA CF] Functions requiring qualifications (since 12 Apr 2021)
    • [FCA CF] Client dealing (since 12 Apr 2021)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 19 Apr 2021)
    • CF30 Customer (6 Jun 2019 to 19 Apr 2021)
  • Quilter Financial Advisers Ltd (no longer approved here)

    FRN 452529

    • (367)Employed By (6 Jun 2019 to 19 Apr 2021)
  • NFU Mutual Select Investments Limited (no longer approved here)

    FRN 582519

    • CF30 Customer (1 Aug 2016 to 27 May 2019)
  • NATIONAL FARMERS UNION MUTUAL INSURANCE SOCIETY LIMITED(THE) (no longer approved here)

    FRN 117664

    • CF30 Customer (1 Jul 2016 to 31 Jul 2016)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (12 Feb 2016 to 6 Mar 2016)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (16 May 2014 to 29 Jul 2015)
  • SPF Private Clients Limited (no longer approved here)

    FRN 189213

    • CF21 Investment Adviser (18 Oct 2006 to 1 Oct 2007)
    • CF22 Investment Adviser (Trainee) (16 Jul 2004 to 18 Oct 2006)

Recent activity

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

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