Where they hold approval

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

  • R.A. Cowen & Partners (Financial Services) Limited (no longer approved here)

    FRN 126112

    • CF1 Director (AR) (23 Jul 2013 to 16 Aug 2018)
    • CF30 Customer (1 Nov 2007 to 16 Aug 2018)
    • Responsible for Insurance Mediation (14 Jan 2005 to 16 Aug 2018)
    • CF1 Director (1 Dec 2001 to 16 Aug 2018)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 1 Jul 2009)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 16 Aug 2018)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Cowens Employee Benefits Ltd (no longer approved here)

    FRN 603624

    • (1)Employed By (23 Jul 2013 to 16 Aug 2018)

Recent activity

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

  1. controlled function removed: Employed By at Cowens Employee Benefits Ltd

  2. controlled function added: (1)Employed By at Cowens Employee Benefits Ltd