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.

• Dominic Williams

  IRN DXW02014

  • 14. Managing investments
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (22 Jun 2015 to 8 Dec 2019)
• Donna Read

  IRN DMT01067

  • [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 (13 Nov 2017 to 8 Dec 2019)
• Douglas Kirk Macnaught

  IRN DKM01072

  • [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 (1 Jan 2014 to 8 Dec 2019)
• Guy Benveniste

  IRN GXB01696

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 3 Mar 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 3 Mar 2023)
• Henrietta Winstanley

  IRN HCW01025

  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 May 2021)
  • CF30 Customer (8 Oct 2012 to 8 Dec 2019)
• Isabel Margaret Howdle

  IRN IMH01079

  • [FCA CF] Client dealing (9 Dec 2019 to 3 Feb 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Feb 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 3 Feb 2022)
  • CF30 Customer (1 Feb 2013 to 8 Dec 2019)
• James Andrew Downing

  IRN JAD01366

  • [FCA CF] Material risk taker (9 Feb 2022 to 5 Apr 2024)
  • [FCA CF] Functions requiring qualifications (9 Feb 2022 to 5 Apr 2024)
  • [FCA CF] Client dealing (9 Feb 2022 to 5 Apr 2024)
• James Ian Sanderson

  IRN JIS00026

  • [FCA CF] Material risk taker (9 Dec 2019 to 28 Oct 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Oct 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Oct 2022)
  • CF30 Customer (13 Nov 2017 to 8 Dec 2019)
• James Robert Scott

  IRN JRS01284

  • CF29 Significant management (30 Jul 2013 to 27 Mar 2014)
  • CF30 Customer (25 Feb 2010 to 31 Dec 2012)
• Joanna Louise Brown

  IRN JLB01173

  • CF29 Significant management (1 Jun 2012 to 19 Jul 2013)

• 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.