Where they hold approval

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

    • 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)
    • [FCA CF] Material risk taker (9 Dec 2019 to 1 May 2025)
    • CF30 Customer (21 Jun 2012 to 8 Dec 2019)
  • Gale and Phillipson Investment Services Ltd (no longer approved here)

    FRN 431387

    • [FCA CF] Material risk taker (9 Dec 2019 to 5 Apr 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 5 Apr 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Apr 2024)
    • CF30 Customer (13 Feb 2015 to 8 Dec 2019)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF30 Customer (16 Jan 2009 to 13 Nov 2012)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (1 Nov 2007 to 12 Feb 2009)
    • CF21 Investment Adviser (21 Aug 2007 to 31 Oct 2007)
  • Trustlaw Financial Services Limited (no longer approved here)

    FRN 196681

    • CF22 Investment Adviser (Trainee) (20 Sep 2004 to 15 Apr 2005)

Recent activity

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

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