James Andrew 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.

  • FRANCIS CLARK FINANCIAL PLANNING LIMITED

    FRN 433591

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF3 Executive Director (since 26 Apr 2023)
    • [FCA CF] Manager of certification employee (since 2 Jan 2023)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (6 Jul 2018 to 8 Dec 2019)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF30 Customer (12 Jun 2012 to 2 Jul 2018)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Mar 2010 to 29 Apr 2012)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 1 Nov 2007)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 18 Jul 2008)

Recent activity

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

No changes recorded yet.