Philip Mark Roberts

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.

  • Philip Roberts

    FRN 459628

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
    • CF10 Compliance Oversight (2 Jan 2007 to 8 Dec 2019)
  • Integrity Financial Planning (no longer approved here)

    FRN 200321

    • (1)Employed By (1 Dec 2001 to 28 Dec 2006)

Recent activity

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

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