Where they hold approval

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

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 1 Mar 2023)
    • [FCA CF] Functions requiring qualifications (since 1 Mar 2023)
    • [FCA CF] Material risk taker (1 Mar 2023 to 1 May 2025)
  • Gale and Phillipson Investment Services Ltd (no longer approved here)

    FRN 431387

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 10 Dec 2019)
    • CF30 Customer (5 Jun 2015 to 20 Sep 2024)
    • CF1 Director (AR) (5 Jun 2015 to 27 Mar 2020)
  • City Asset Management Plc (no longer approved here)

    FRN 122483

    • CF30 Customer (1 Nov 2007 to 29 May 2015)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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