Michael John Charles Phillips

Last updated
6 days ago
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Where they hold approval

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

  • Eastern Financial Consultants Ltd

    FRN 952886

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 6 Nov 2025)
    • [FCA CF] Client dealing (since 6 Nov 2025)
  • Insight Financial Associates Limited

    FRN 458421

    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 17 Sep 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (2 Feb 2010 to 8 Dec 2019)
  • Penvest Limited

    FRN 407889

    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (28 Aug 2019 to 8 Dec 2019)
  • Insight Wealth Limited

    FRN 470603

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (11 Apr 2019 to 8 Dec 2019)
  • D B Financial Management Limited

    FRN 522214

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • ROBERT GERRARD & WESTBROOK LIMITED (no longer approved here)

    FRN 188640

    • [FCA CF] Client dealing (9 Dec 2019 to 19 Jan 2026)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Jan 2026)
    • CF30 Customer (30 Dec 2014 to 8 Dec 2019)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF21 Investment Adviser (14 Aug 2002 to 27 Mar 2004)
    • CF1 Director (AR) (14 Aug 2002 to 27 Mar 2004)
  • West Anglia (IFA's) Ltd (no longer approved here)

    FRN 217421

    • (9)Employed By (14 Aug 2002 to 27 Mar 2004)

Recent activity

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

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