Cooper Maverick LLP

Date authorised
1 April 2016
Companies House
OC399671
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    12 Appleby Court
    Serotine Close
    Knowle
    Fareham
    Hampshire
    PO17 5QD
    UNITED KINGDOM
    Phone
    +447949161496
    Web
    https://www.coopermaverickllp.com

  • Complaints Contact

    12 Appleby Court
    Serotine Close
    Knowle
    Fareham
    Hampshire
    PO17 5QD
    UNITED KINGDOM
    Phone
    +447949161496

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

    Show 2 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Deborah Ann Brown

    IRN DAB01182

    • Responsible for Insurance Mediation (1 Apr 2016 to 16 Apr 2018)
    • CF4 Partner (1 Apr 2016 to 16 Apr 2018)
    • CF30 Customer (1 Apr 2016 to 13 Dec 2016)
    • CF11 Money Laundering Reporting (1 Apr 2016 to 16 Apr 2018)
  • Dominic Hardcastle-Mills

    IRN DXH02260

    • [FCA CF] Client dealing (1 Dec 2020 to 13 Feb 2024)
    • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 13 Feb 2024)
    • SMF27 Partner (9 Dec 2019 to 13 Mar 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Mar 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 13 Mar 2024)
    • CF4 Partner (13 Apr 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Apr 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (13 Apr 2018 to 30 Sep 2018)
    • CF30 Customer (1 Feb 2017 to 8 Dec 2019)
  • Emma Louise Mills

    IRN ELM01032

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Oct 2024)
    • Responsible for Insurance Distribution (since 2 Sep 2024)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Apr 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2016 to 8 Dec 2019)
    • CF4 Partner (1 Apr 2016 to 8 Dec 2019)
  • Graham Dennis McIntyre

    IRN GDM01107

    • CF30 Customer (22 Jun 2016 to 28 Feb 2017)
  • Patrick Michael Stuart

    IRN PXS00098

    • CF30 Customer (3 Apr 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.