Denis William Cooper

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.

  • ADD WEALTH MANAGEMENT LIMITED

    FRN 588163

    • 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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF1 Director (AR) (since 5 Feb 2016)
    • CF11 Money Laundering Reporting (2 Apr 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Apr 2013 to 30 Sep 2018)
    • CF10 Compliance Oversight (2 Apr 2013 to 8 Dec 2019)
    • CF30 Customer (2 Apr 2013 to 8 Dec 2019)
    • CF1 Director (2 Apr 2013 to 8 Dec 2019)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF1 Director (AR) (13 May 2008 to 1 Apr 2009)
  • Addison Mortgage Services Ltd (no longer approved here)

    FRN 483236

    • Employed By (13 May 2008 to 1 Apr 2009)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF30 Customer (1 Nov 2007 to 30 Jun 2013)
    • CF21 Investment Adviser (6 Jun 2006 to 31 Oct 2007)
    • CF1 Director (AR) (6 Jun 2006 to 17 Jan 2008)
  • Denis Cooper (no longer approved here)

    FRN 452908

    • Employed By (6 Jun 2006 to 30 Jun 2013)
  • Butlers Wharf Independent Advisers Ltd (no longer approved here)

    FRN 228451

    • Employed By (19 May 2005 to 15 Dec 2005)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF22 Investment Adviser (Trainee) (4 Sep 2002 to 23 Oct 2002)
    • CF1 Director (AR) (1 Dec 2001 to 19 Nov 2003)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF22 Investment Adviser (Trainee) (4 Sep 2002 to 23 Oct 2002)
    • CF1 Director (AR) (1 Dec 2001 to 19 Nov 2003)

Recent activity

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

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