Keith Simon 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.

  • Suttons Independent Financial Advisers Limited

    FRN 455848

    • 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 1 Mar 2026)
    • [FCA CF] Client dealing (since 1 Mar 2026)
  • Mark Begg Asset Management Ltd

    FRN 221308

    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • CF30 Customer (since 12 Oct 2021)
    • [FCA CF] Functions requiring qualifications (since 3 Aug 2020)
    • CF30 Customer (1 Feb 2013 to 8 Dec 2019)
  • Keith Phillips (no longer approved here)

    FRN 843060

    • (1)Employed By (30 Dec 2021 to 11 Mar 2026)

Recent activity

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

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