Stuart Norman Phillips

Watch for changes

Where they hold approval

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

Charles Derby Wealth Management Limited (no longer approved here)
FRN 535816
- Employed By (31 Jan 2012 to 27 Dec 2012)
QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- CF30 Customer (27 Jan 2012 to 1 Apr 2012)
QUILTER WEALTH LIMITED (no longer approved here)
FRN 217742
- CF1 Director (AR) (7 May 2010 to 8 Mar 2011)
- CF30 Customer (29 Jan 2010 to 27 Dec 2012)
RLUM Limited (no longer approved here)
FRN 144032
- CF21 Investment Adviser (31 Oct 2002 to 27 Jan 2006)
- CF22 Investment Adviser (Trainee) (31 Oct 2002 to 31 Oct 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.