David Charles Coles

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.

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • Appointed representative dealing with clients for which they require qualification (since 22 Feb 2022)
    • CF1 Director (AR) (since 21 Jan 2022)
    • CF30 Customer (since 21 Jan 2022)
    • [FCA CF] Client dealing (10 Dec 2019 to 22 Feb 2022)
    • [FCA CF] Functions requiring qualifications (10 Dec 2019 to 22 Feb 2022)
    • CF30 Customer (17 Jun 2013 to 8 Dec 2019)
  • Independent Shetland Finance Limited

    FRN 967668

    • (1)Employed By (since 21 Jan 2022)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (1 Nov 2007 to 14 Jun 2013)
    • CF21 Investment Adviser (25 Apr 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (31 Oct 2005 to 25 Apr 2006)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF21 Investment Adviser (14 Nov 2003 to 15 Dec 2004)
    • CF22 Investment Adviser (Trainee) (28 May 2003 to 14 Nov 2003)

Recent activity

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

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