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

  Show 1 limitation Hide limitations

  • · 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.

• Robert William Hupe

  IRN RWH01130

  • CF30 Customer (23 Feb 2010 to 27 May 2011)
• Robin Michael Joyner

  IRN RMJ01021

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 10 Dec 2019)
  • CF1 Director (AR) (5 Jun 2015 to 27 Mar 2020)
  • CF30 Customer (5 Jun 2015 to 20 Sep 2024)
• Ruth Jean Lippiatt

  IRN RXL00137

  • [FCA CF] Material risk taker (9 Dec 2019 to 22 Jan 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 22 Jan 2024)
• Sandra Dawn Sanderson

  IRN SDS00027

  • [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)
• Sheriden Lee Davy

  IRN SLD01028

  • SMF17 Money Laundering Reporting Officer (MLRO) (27 May 2020 to 9 May 2022)
  • SMF3 Executive Director (27 May 2020 to 9 May 2022)
  • SMF16 Compliance Oversight (27 May 2020 to 9 May 2022)
• Steven Poulton

  IRN SXP01938

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 May 2024)
  • SMF16 Compliance Oversight (since 10 May 2024)
• Terence Davies

  IRN TXD00028

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Jun 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (27 Nov 2006 to 31 Oct 2007)
• Thomas William Purcell

  IRN TXP00104

  • [FCA CF] Material risk taker (9 Dec 2019 to 10 May 2022)
• Timothy John Haggie

  IRN TJH00043

  • CF1 Director (AR) (19 Dec 2006 to 1 Aug 2007)
• Timothy Richard Piper

  IRN TRP00003

  • CF30 Customer (13 Nov 2017 to 30 Nov 2019)

• 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.