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.

• Jonathan Conway

  IRN JXC02375

  • CF30 Customer (22 Oct 2010 to 21 Jun 2013)
• Jonathan Dibble

  IRN JXD01924

  • CF11 Money Laundering Reporting (25 Oct 2016 to 1 Mar 2018)
  • CF10 Compliance Oversight (25 Oct 2016 to 1 Mar 2018)
• Jonathan Edward Fry

  IRN JEF00003

  • CF1 Director (14 Oct 2009 to 17 Dec 2013)
  • CF30 Customer (1 Nov 2007 to 15 May 2015)
  • CF1 Director (AR) (30 Jun 2005 to 1 Aug 2007)
  • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
• Jonathan Elia Lopian

  IRN JEL01142

  • [FCA CF] Client dealing (4 Mar 2021 to 5 Apr 2024)
  • [FCA CF] Functions requiring qualifications (4 Mar 2021 to 5 Apr 2024)
  • [FCA CF] Material risk taker (4 Mar 2021 to 5 Apr 2024)
• Kirsty Elizabeth Grainger

  IRN KXG00140

  • [FCA CF] Client dealing (23 Mar 2022 to 31 Mar 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 3 Oct 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 3 Oct 2023)
• Larry Lipschitz

  IRN LXL00111

  • Director of firm who is not a certification employee or a SMF manager (30 Mar 2021 to 25 Aug 2022)
• Lee Andrew Jacobs

  IRN LAJ01046

  • [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 (1 Jan 2014 to 8 Dec 2019)
• Lewis Barry Bloch

  IRN LBB00002

  • CF2 Non Executive Director (18 Sep 2017 to 21 May 2019)
• Lucy Davison

  IRN LXD00050

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

  IRN MDF00018

  • CF10 Compliance Oversight (5 Aug 2013 to 26 Nov 2015)
  • CF11 Money Laundering Reporting (5 Dec 2012 to 26 Nov 2015)

• 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.