William Isaac Neal

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Asset Management Financial Advisers Limited

    FRN 172274

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 27 Nov 2023)
    • [FCA CF] Client dealing (since 27 Nov 2023)
    • [FCA CF] Client dealing (24 Feb 2022 to 10 Aug 2023)
    • [FCA CF] Functions requiring qualifications (24 Feb 2022 to 10 Aug 2023)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (14 Sep 2023 to 20 Oct 2023)
  • Apollo Private Wealth Ltd (no longer approved here)

    FRN 776254

    • (6)Employed By (14 Sep 2023 to 20 Oct 2023)

Recent activity

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

  1. controlled function removed: Employed By at Apollo Private Wealth Ltd

  2. controlled function added: (6)Employed By at Apollo Private Wealth Ltd