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.

• Michael Andrew Walton

  IRN MAW00019

  • [FCA CF] Material risk taker (1 Dec 2020 to 28 Apr 2023)
• Michelle Dodd

  IRN MXD01648

  • SMF16 Compliance Oversight (9 Dec 2019 to 12 Feb 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 Feb 2020)
  • CF11 Money Laundering Reporting (12 Jun 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (12 Jun 2018 to 8 Dec 2019)
• Nicholas Joseph Varley Poole

  IRN NJP00048

  • CF1 Director (AR) (19 Dec 2006 to 1 Aug 2007)
• Paul David Reeves

  IRN PDR00016

  • [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 Feb 2015 to 8 Dec 2019)
• Paul Donald Bain

  IRN PDB00020

  • [FCA CF] Material risk taker (9 Dec 2019 to 5 Apr 2024)
  • [FCA CF] Client dealing (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)
• Paul Thomas Moat

  IRN PTM01052

  • CF30 Customer (13 Nov 2017 to 20 Aug 2018)
• Peter Griffin

  IRN PXG01599

  • CF1 Director (AR) (since 23 Mar 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Jun 2017 to 8 Dec 2019)
  • CF30 Customer (15 Jun 2011 to 8 Dec 2019)
• Philip Anthony Morris

  IRN PAM00021

  • Responsible for Insurance Distribution (20 Apr 2020 to 30 Jun 2023)
  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2023)
  • CF1 Director (11 Apr 2016 to 8 Dec 2019)
• Philip Harrison

  IRN PXH00197

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 19 Mar 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 19 Mar 2023)
• Robbie Ashley Allan Meakin

  IRN RAM01224

  • CF30 Customer (18 Oct 2012 to 6 Mar 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.