David James Dickman Coates

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.

  • Momentum Investing Ltd

    FRN 653015

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 18 Sep 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 7 Sep 2016)
    • Responsible for Insurance Mediation (2 Feb 2015 to 30 Sep 2018)
    • CF1 Director (2 Feb 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Feb 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Feb 2015 to 8 Dec 2019)
    • CF30 Customer (2 Feb 2015 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (23 Aug 2012 to 27 Feb 2015)
  • David Coates (no longer approved here)

    FRN 586055

    • Employed By (23 Aug 2012 to 27 Feb 2015)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF21 Investment Adviser (1 Dec 2001 to 19 Sep 2007)
  • Redcliffe Associates Independent Financial Advisers Limited (no longer approved here)

    FRN 192404

    • Employed By (2 Feb 2000 to 20 Apr 2004)

Recent activity

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

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