Philip Mark Whalley

Last updated
3 weeks ago
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Where they hold approval

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

  • CLSA (UK) (no longer approved here)

    FRN 140836

    • [FCA CF] Client dealing (9 Dec 2019 to 18 Jan 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (23 Apr 2004 to 31 Oct 2007)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (30 Nov 2002 to 8 Apr 2004)

Recent activity

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

No changes recorded yet.