John Anthony Phillips

Last updated
3 days ago
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Where they hold approval

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

  • John Phillips Financial Planning LLP

    FRN 630436

    • 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)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF4 Partner (5 Nov 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Nov 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Nov 2014 to 8 Dec 2019)
    • CF30 Customer (5 Nov 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 Nov 2014 to 30 Sep 2018)
  • AJH Financial Services Ltd (no longer approved here)

    FRN 226955

    • CF30 Customer (1 Nov 2007 to 14 Nov 2012)
    • CF21 Investment Adviser (11 Nov 2004 to 31 Oct 2007)
  • Clive Mahoney & Company (no longer approved here)

    FRN 181517

    • Employed By (1 Oct 1998 to 31 Dec 2002)

Recent activity

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

No changes recorded yet.