Adrian Stephen Cook

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.

  • ASC FINANCIAL SOLUTIONS LIMITED

    FRN 506768

    • 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] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF16 Compliance Oversight (9 Dec 2019 to 26 Jun 2025)
    • CF1 Director (26 Nov 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (26 Nov 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (26 Nov 2009 to 8 Dec 2019)
    • CF30 Customer (26 Nov 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (26 Nov 2009 to 30 Sep 2018)
  • ASC Financial Solutions Ltd (no longer approved here)

    FRN 480851

    • Employed By (11 Apr 2008 to 27 Nov 2009)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF1 Director (AR) (7 Apr 2008 to 27 Nov 2009)
    • CF30 Customer (1 Nov 2007 to 27 Nov 2009)
    • CF21 Investment Adviser (16 Mar 2007 to 31 Oct 2007)
  • K.D.Wright Financial Services Ltd (no longer approved here)

    FRN 200752

    • Employed By (16 Mar 2007 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF22 Investment Adviser (Trainee) (20 Nov 2006 to 13 May 2007)
  • Adrian Cook (no longer approved here)

    FRN 460158

    • Employed By (20 Nov 2006 to 13 May 2007)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (11 Nov 2002 to 30 Oct 2006)

Recent activity

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

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