Gary Francis Phillips

Last updated
2 weeks ago
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Where they hold approval

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

  • PHILLIPS FINANCIAL PLANNING LIMITED

    FRN 529028

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (17 Jan 2011 to 8 Dec 2019)
    • CF1 Director (17 Jan 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (17 Jan 2011 to 8 Dec 2019)
    • CF30 Customer (17 Jan 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (17 Jan 2011 to 30 Sep 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 14 Mar 2011)
    • CF21 Investment Adviser (9 Oct 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Aug 2006 to 9 Oct 2006)
  • AIB GROUP (UK) P.L.C. (no longer approved here)

    FRN 122088

    • CF21 Investment Adviser (1 Dec 2001 to 3 Feb 2003)

Recent activity

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

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