Phillip Stephen Rose

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.

  • Alpha Real Capital LLP

    FRN 436048

    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 23 Mar 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (12 Jun 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (7 Oct 2005 to 31 Oct 2007)
    • CF27 Investment Management (7 Oct 2005 to 14 Jun 2006)
    • CF11 Money Laundering Reporting (7 Oct 2005 to 3 Mar 2006)
    • CF10 Compliance Oversight (7 Oct 2005 to 3 Mar 2006)
    • CF3 Chief Executive (7 Oct 2005 to 8 Dec 2019)
    • CF4 Partner (7 Oct 2005 to 8 Dec 2019)
  • Hermes Investment Management Ltd (no longer approved here)

    FRN 150000

    • CF30 Customer (12 Jul 2013 to 5 Mar 2015)
  • Pacific Capital Partners Limited (no longer approved here)

    FRN 171200

    • CF27 Investment Management (21 Apr 2005 to 11 Oct 2005)

Recent activity

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

No changes recorded yet.