Benjamin James Rees

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.

  • JONES COOPER WEALTH MANAGEMENT LIMITED

    FRN 741929

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 24 Mar 2025)
    • [FCA CF] Functions requiring qualifications (since 24 Mar 2025)
    • CF30 Customer (13 Mar 2017 to 18 Aug 2017)
    • Responsible for Insurance Mediation (9 Feb 2017 to 14 Jul 2017)
    • CF1 Director (8 Feb 2017 to 14 Jul 2017)
    • CF10 Compliance Oversight (8 Feb 2017 to 14 Jul 2017)
    • CF11 Money Laundering Reporting (8 Feb 2017 to 14 Jul 2017)
  • OPUS Independent Financial Planning Limited

    FRN 529492

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • CF30 Customer (since 11 Mar 2024)
    • CF1 Director (AR) (since 11 Mar 2024)
    • [FCA CF] Manager of certification employee (since 27 Feb 2024)
    • [FCA CF] Client dealing (since 23 Nov 2022)
    • [FCA CF] Functions requiring qualifications (since 22 Nov 2022)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF16 Compliance Oversight (9 Dec 2019 to 27 Jan 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Jan 2025)
    • CF1 Director (AR) (19 Oct 2012 to 30 Nov 2016)
    • Responsible for Insurance Mediation (5 Jul 2012 to 30 Sep 2018)
    • CF1 Director (1 Nov 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2010 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2010 to 31 May 2020)
    • CF10 Compliance Oversight (1 Nov 2010 to 8 Dec 2019)
  • Napier Private Wealth Limited

    FRN 986216

    • (1)Employed By (since 11 Mar 2024)
  • Napier Sterling Limited (no longer approved here)

    FRN 1033561

    • (2)Employed By (3 Jun 2025 to 7 Apr 2026)
  • Nephos Wealth Limited (no longer approved here)

    FRN 1000268

    • (2)Employed By (11 Mar 2024 to 27 Mar 2025)
  • Maia Asset Management Limited (no longer approved here)

    FRN 747887

    • SMF3 Executive Director (9 Dec 2019 to 16 Oct 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 9 Apr 2024)
    • CF1 Director (3 Jan 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2017 to 8 Dec 2019)
    • CF30 Customer (3 Jan 2017 to 8 Dec 2019)
  • Jones Cooper Wealth Management Limited (no longer approved here)

    FRN 163575

    • Employed By (13 Apr 2015 to 1 Dec 2016)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (22 Apr 2008 to 20 Oct 2010)
  • Ashwood Law Professional Link (JVC1) Limited (no longer approved here)

    FRN 223794

    • Employed By (5 Feb 2007 to 2 May 2008)

Recent activity

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

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