Shan Phoenix

Last updated
1 week ago
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Where they hold approval

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

  • Geneva Wealth Limited

    FRN 807865

    • 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 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 2 Jan 2019)
    • CF10 Compliance Oversight (2 Jan 2019 to 8 Dec 2019)
    • CF30 Customer (2 Jan 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2019 to 8 Dec 2019)
    • CF1 Director (2 Jan 2019 to 8 Dec 2019)
  • Julian Harris Financial Consultants (no longer approved here)

    FRN 153566

    • CF1 Director (AR) (18 Mar 2016 to 5 Nov 2018)
    • CF30 Customer (18 Mar 2016 to 5 Nov 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (13 Mar 2013 to 29 Aug 2014)
    • CF1 Director (AR) (13 Mar 2013 to 29 Aug 2014)
  • Phoenix Wealth Ltd (no longer approved here)

    FRN 596699

    • Employed By (13 Mar 2013 to 29 Aug 2014)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (2 Apr 2012 to 15 Feb 2013)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (22 Jul 2011 to 1 Apr 2012)
  • Charles Derby Wealth Management Limited (no longer approved here)

    FRN 535816

    • Employed By (22 Jul 2011 to 15 Feb 2013)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (4 Oct 2010 to 24 Jun 2011)

Recent activity

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

No changes recorded yet.