James Alan Cocker

Last updated
3 weeks ago
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Where they hold approval

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

  • Adcas Financial Management Ltd

    FRN 222123

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • CF1 Director (AR) (since 12 May 2023)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (since 1 Nov 2007)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 12 Feb 2024)
    • Responsible for Insurance Mediation (2 Mar 2011 to 30 Sep 2018)
    • CF10 Compliance Oversight (2 Mar 2011 to 8 Dec 2019)
    • CF1 Director (2 Mar 2011 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Feb 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (13 Nov 2006 to 1 Feb 2007)
  • A&N Financial Management Ltd

    FRN 783879

    • (1)Employed By (since 12 Jul 2017)
  • Aspiration Financial Management Ltd

    FRN 763796

    • (2)Employed By (since 10 Nov 2016)

Recent activity

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

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