Phil Cross

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.

  • Direct Financial Planning (UK) Limited

    FRN 971191

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 4 Oct 2022)
    • Responsibility for MCD Intermediation (since 4 Oct 2022)
    • Responsible for Insurance Distribution (since 4 Oct 2022)
    • SMF16 Compliance Oversight (since 4 Oct 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Oct 2022)
    • SMF3 Executive Director (since 4 Oct 2022)
    • [FCA CF] Client dealing (since 4 Oct 2022)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Sep 2022)
    • CF30 Customer (1 Nov 2007 to 30 Sep 2022)
    • CF1 Director (AR) (13 Jun 2003 to 30 Sep 2022)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 13 Jun 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Direct Financial Planning (UK) Ltd (no longer approved here)

    FRN 155402

    • (5)Employed By (1 Oct 1998 to 30 Sep 2022)

Recent activity

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

No changes recorded yet.