Brian Gordon Cook

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • AFH Independent Financial Services Limited

    FRN 216704

    • 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] Functions requiring qualifications (since 10 Mar 2025)
    • [FCA CF] Client dealing (since 10 Mar 2025)
    • CF30 Customer (14 Jul 2015 to 21 Feb 2017)
  • Rock Financial Advisors Ltd (no longer approved here)

    FRN 750001

    • [FCA CF] Functions requiring qualifications (3 Dec 2020 to 10 Feb 2025)
    • [FCA CF] Client dealing (3 Dec 2020 to 10 Feb 2025)
    • CF30 Customer (31 Oct 2017 to 8 Dec 2019)
  • Alexander James Financial Planning Limited (no longer approved here)

    FRN 605325

    • CF30 Customer (2 Mar 2017 to 25 Oct 2017)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 8 May 2012)
    • CF21 Investment Adviser (20 Feb 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (28 Sep 2004 to 20 Feb 2006)

Recent activity

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

No changes recorded yet.