David John Cole

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Where they hold approval

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

St. James's Place Wealth Management Plc
FRN 195351
- CF1 Director (AR) (since 26 Jan 2007)
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Dec 2025)
- CF30 Customer (1 Nov 2007 to 31 Dec 2025)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Burfields House Wealth Management Ltd
FRN 795412
- Employed By (since 6 Dec 2017)
SeventySeven Wealth Management Limited (no longer approved here)
FRN 623059
- (2)Employed By (20 Jun 2014 to 6 Dec 2017)
David John Cole (no longer approved here)
FRN 578077
- Employed By (17 Apr 2012 to 12 May 2014)
Burfields House Ltd (no longer approved here)
FRN 416255
- Employed By (8 Dec 2004 to 12 May 2014)
ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)
FRN 122472
- CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
ST. JAMES'S PLACE UK PLC (no longer approved here)
FRN 150026
- CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.