David William Harris

Watch for changes

Where they hold approval

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

Cooper Associates Wealth Management Ltd
FRN 514008
- Employed By (since 13 Nov 2024)
St. James's Place Wealth Management Plc
FRN 195351
- 7. Giving personal recommendations on long-term care insurance contracts
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 31 Mar 2009)
- CF1 Director (AR) (31 Mar 2009 to 22 Nov 2024)
Neptune Financial Management Limited (no longer approved here)
FRN 196549
- (8)Employed By (31 Mar 2009 to 22 Nov 2024)

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.