Neil Wilson Burns

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.

  • N W B Consultants Limited

    FRN 516359

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 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
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF10 Compliance Oversight (12 Oct 2010 to 8 Dec 2019)
    • CF1 Director (12 Oct 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 Oct 2010 to 8 Dec 2019)
    • CF30 Customer (12 Oct 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (12 Oct 2010 to 30 Sep 2018)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 16 Jan 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Alison Rigg Limited (no longer approved here)

    FRN 224993

    • (3)Employed By (9 Mar 2005 to 16 Jan 2009)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • Alison Rigg (no longer approved here)

    FRN 401580

    • (2)Employed By (1 Dec 2001 to 8 Dec 2019)

Recent activity

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

  1. controlled function added: (3)Employed By at Alison Rigg Limited