David Howard Phillips

Watch for changes

Where they hold approval

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

Canadian Imperial Bank of Commerce (no longer approved here)
FRN 141285
- [FCA CF] Client dealing (8 Apr 2020 to 11 Nov 2022)
- CF21 Investment Adviser (1 Dec 2001 to 16 Feb 2004)
INTEGRA CAPITAL LIMITED (no longer approved here)
FRN 197336
- CF30 Customer (8 Jun 2017 to 8 Dec 2019)
Macquarie Capital (Europe) Limited (no longer approved here)
FRN 193905
- CF30 Customer (12 Apr 2010 to 28 Aug 2014)
Wells Fargo Securities International Limited (no longer approved here)
FRN 186745
- CF30 Customer (1 Nov 2007 to 18 Sep 2009)
- CF21 Investment Adviser (29 Aug 2007 to 31 Oct 2007)
PIPER SANDLER LTD. (no longer approved here)
FRN 191657
- CF21 Investment Adviser (1 Sep 2005 to 25 May 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.