James Radcliffe Cooper

Last updated
2 weeks ago
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Where they hold approval

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

  • Radcliffe Cooper Limited

    FRN 624554

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [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)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (6 Aug 2014 to 8 Dec 2019)
    • CF1 Director (6 Aug 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Aug 2014 to 8 Dec 2019)
    • CF30 Customer (6 Aug 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (6 Aug 2014 to 30 Sep 2018)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 27 Aug 2009)
    • CF21 Investment Adviser (6 Apr 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (11 Dec 2006 to 10 Apr 2007)
  • Cooper & Associates Wealth Management (no longer approved here)

    FRN 461100

    • Employed By (11 Dec 2006 to 27 Aug 2009)
  • Executive Advisory Services Limited (no longer approved here)

    FRN 154311

    • CF21 Investment Adviser (1 Dec 2005 to 22 Dec 2006)
    • CF22 Investment Adviser (Trainee) (12 May 2004 to 1 Dec 2005)

Recent activity

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

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