Gale and Phillipson Investment Services Ltd

• Principal Place of Business

  107 Cheapside

  London

  EC2V 6DN

  UNITED KINGDOM

  Phone

  +441748825971

  Web

  https://www.you-asset.co.uk

• Complaints Contact

  107 Cheapside

  London

  EC2V 6DN

  UNITED KINGDOM

  Phone

  +441748825971

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Anthony Carl Foulkes

  IRN ACF00002

  • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
  • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
• Antonia Jayne Simpson

  IRN AJS00033

  • CF30 Customer (1 Nov 2007 to 11 Jul 2012)
  • CF1 Director (18 May 2005 to 11 Jul 2012)
  • CF11 Money Laundering Reporting (18 May 2005 to 11 Jul 2012)
  • Responsible for Insurance Mediation (18 May 2005 to 11 Jul 2012)
  • CF24 Pension Transfer Specialist (18 May 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (18 May 2005 to 31 Oct 2007)
  • CF10 Compliance Oversight (18 May 2005 to 11 Jul 2012)
• Bethany Gemma Pirrie

  IRN BXM00267

  • [FCA CF] Functions requiring qualifications (24 May 2022 to 5 Apr 2024)
  • [FCA CF] Client dealing (24 May 2022 to 5 Apr 2024)
  • [FCA CF] Material risk taker (24 May 2022 to 5 Apr 2024)
• Beverly Jayne Harrison

  IRN BJH01119

  • SMF17 Money Laundering Reporting Officer (MLRO) (19 Oct 2022 to 31 May 2024)
  • SMF16 Compliance Oversight (19 Oct 2022 to 31 May 2024)
  • [FCA CF] Material risk taker (23 Nov 2020 to 19 Oct 2022)
• Craig Ross Annan

  IRN CRA00002

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Apr 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 5 Apr 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 5 Apr 2024)
  • CF30 Customer (13 Nov 2017 to 8 Dec 2019)
• Darren Lance Shur

  IRN DLS01117

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 25 Aug 2022)
  • CF2 Non Executive Director (14 Aug 2017 to 8 Dec 2019)
• Darren William John Sharkey

  IRN DWS01044

  • SMF3 Executive Director (since 25 Apr 2023)
• David Hugh Carr

  IRN DHC01020

  • SMF1 Chief Executive (9 Dec 2019 to 15 Nov 2023)
  • SMF3 Executive Director (9 Dec 2019 to 15 Nov 2023)
  • CF30 Customer (5 Jul 2010 to 31 Oct 2017)
  • CF1 Director (7 Dec 2009 to 8 Dec 2019)
  • CF3 Chief Executive (7 Dec 2009 to 8 Dec 2019)
• Derek Anthony Dryden

  IRN DAD00005

  • [FCA CF] Client dealing (9 Dec 2019 to 5 Apr 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Apr 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 5 Apr 2024)
  • CF30 Customer (11 Feb 2015 to 8 Dec 2019)
• Derrick William Dunne

  IRN DWD01024

  • Responsible for Insurance Distribution (since 14 Nov 2023)
  • SMF3 Executive Director (since 14 Nov 2023)
  • SMF1 Chief Executive (since 14 Nov 2023)

• Finli (GPS) Ltd (no longer appointed)

  FRN 703337 · Appointed 29 May 2015 · Until 24 Oct 2024

• Priestgate Financial Planning Ltd (no longer appointed)

  FRN 200441 · Appointed 3 Jun 2005 · Until 1 Aug 2007

No changes recorded yet.