Harminder Singh Phull

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 10 Jan 2014)
Harminder Phull
FRN 612888
- (1)Employed By (since 10 Jan 2014)
Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- CF1 Director (AR) (1 Dec 2010 to 29 Dec 2013)
- CF30 Customer (1 Dec 2010 to 29 Dec 2013)
Lighthouse Financial Advice Limited (no longer approved here)
FRN 225502
- (698)Employed By (1 Dec 2010 to 29 Dec 2013)
Godfrey Pearson & Partners IFA (no longer approved here)
FRN 173401
- (25)Employed By (2 Aug 2000 to 30 Mar 2005)

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.