Richard Lee Phillips

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 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)
    • [FCA CF] Functions requiring qualifications (since 30 Sep 2021)
    • [FCA CF] Client dealing (since 30 Sep 2021)
  • BERKELEY, BURKE & COMPANY LIMITED (no longer approved here)

    FRN 115053

    • CF30 Customer (1 Nov 2007 to 29 Nov 2013)
    • CF21 Investment Adviser (16 Jan 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (19 May 2004 to 16 Jan 2006)
  • Berkeley Morgan Limited (no longer approved here)

    FRN 148577

    • CF21 Investment Adviser (25 Mar 2003 to 22 Mar 2004)

Recent activity

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

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