Francis James Cole

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Where they hold approval

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

Francis James Cole
FRN 994442
- (1)Employed By (since 3 May 2023)
Mortgage Advice Bureau Limited
FRN 455545
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- Appointed representative dealing with clients for which they require qualification (since 29 Mar 2023)
- Appointed representative dealing with clients for which they require qualification (17 Jun 2020 to 10 Jun 2022)
Brompton Asset Finance Limited (no longer approved here)
FRN 727308
- SMF1 (AR) Chief Executive function (3 May 2023 to 9 Aug 2023)

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

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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.