Christopher James Phillips

Last updated
4 days ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Fairway Financial Planning Limited

    FRN 998733

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 10 Jan 2024)
    • SMF3 Executive Director (since 10 Jan 2024)
    • [FCA CF] Functions requiring qualifications (since 10 Jan 2024)
    • [FCA CF] Client dealing (since 10 Jan 2024)
  • Wardour Financial Planners Ltd (no longer approved here)

    FRN 739963

    • [FCA CF] Functions requiring qualifications (7 Dec 2020 to 10 Jan 2024)
    • [FCA CF] Client dealing (7 Dec 2020 to 10 Jan 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 7 May 2020)
    • SMF3 Executive Director (9 Dec 2019 to 7 May 2020)
    • Responsible for Insurance Distribution (16 Nov 2018 to 7 May 2020)
    • CF10 Compliance Oversight (16 Nov 2018 to 8 Dec 2019)
    • Responsibility for MCD Intermediation (15 Feb 2017 to 7 May 2020)
    • CF1 Director (5 Oct 2016 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (5 Oct 2016 to 2 Nov 2018)
    • CF30 Customer (5 Oct 2016 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (11 Sep 2012 to 30 Sep 2016)
    • CF4 Partner (AR) (11 Sep 2012 to 30 Sep 2016)
  • Wardour Investments LLP (no longer approved here)

    FRN 586903

    • Employed By (11 Sep 2012 to 30 Sep 2016)
  • Honister Partners Ltd (no longer approved here)

    FRN 502699

    • Employed By (23 Jun 2009 to 2 Jul 2012)

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

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