Phillip Masters Independent Financial Advisers Limited

Date authorised
1 April 2013
Companies House
06086917
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    2 Athenaeum Road
    London
    N20 9AE
    UNITED KINGDOM
    Phone
    +4402083695100
    Web
    https://www.pensionsuk.co.uk

  • Complaints Contact

    2 Athenaeum Road
    London
    N20 9AE
    UNITED KINGDOM
    Phone
    +4402083695100

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

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

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David Evans

    IRN DXE01161

    • CF30 Customer (1 Nov 2007 to 1 Dec 2008)
    • CF21 Investment Adviser (29 May 2007 to 31 Oct 2007)
    • CF1 Director (AR) (29 May 2007 to 1 Dec 2008)
  • David Rosenthal

    IRN DXR00031

    • CF30 Customer (1 Nov 2007 to 13 Nov 2007)
    • CF21 Investment Adviser (29 May 2007 to 31 Oct 2007)
  • Neil Michael Jacobs

    IRN NMJ01024

    • CF4 Partner (AR) (8 Jan 2016 to 17 Feb 2016)
    • CF30 Customer (4 Feb 2013 to 7 Dec 2015)
  • Phillip B Masters

    IRN PBM00001

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 May 2007 to 8 Dec 2019)
    • CF1 Director (29 May 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 May 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (29 May 2007 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (29 May 2007 to 1 Nov 2007)
    • Responsible for Insurance Mediation (29 May 2007 to 30 Sep 2018)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.