Thomas Neil Hawes

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.

  • ADMS Asset Management Limited

    FRN 569871

    • 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] Client dealing (since 14 Apr 2025)
    • [FCA CF] Functions requiring qualifications (since 14 Apr 2025)
  • Buxton Beresford Financial Planning Ltd

    FRN 596052

    • 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] Client dealing (since 10 Mar 2025)
    • [FCA CF] Functions requiring qualifications (since 10 Mar 2025)
  • IFA FINANCIAL SERVICES (UK) LTD.

    FRN 447432

    • 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 19 May 2023)
    • [FCA CF] Client dealing (since 19 May 2023)
  • Insight Financial Associates Limited

    FRN 458421

    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (24 Aug 2017 to 7 Oct 2019)
  • The Penny Group Ltd (no longer approved here)

    FRN 536216

    • (28)Employed By (24 Aug 2017 to 7 Oct 2019)

Recent activity

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

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