John Elwyn Phillips

Last updated
5 days ago
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Where they hold approval

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

  • AAF Financial Ltd

    FRN 977929

    • 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)
    • [FCA CF] Functions requiring qualifications (since 4 Sep 2024)
    • [FCA CF] Client dealing (since 4 Sep 2024)
  • TAVISTOCK PARTNERS (UK) LTD (no longer approved here)

    FRN 230342

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Sep 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 3 Sep 2024)
    • CF30 Customer (10 Feb 2017 to 8 Dec 2019)
  • True Potential Investments LLP (no longer approved here)

    FRN 527444

    • CF30 Customer (31 Mar 2016 to 9 Jan 2017)
  • NATIONAL FARMERS UNION MUTUAL INSURANCE SOCIETY LIMITED(THE) (no longer approved here)

    FRN 117664

    • CF30 Customer (2 Jun 2014 to 18 Feb 2016)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (7 Jul 2011 to 2 Apr 2014)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (27 Sep 2006 to 10 Oct 2006)
    • CF22 Investment Adviser (Trainee) (20 May 2005 to 27 Sep 2006)

Recent activity

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

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