Karen-Lee Cooper

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Chase de Vere Independent Financial Advisers limited

    FRN 137914

    • 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)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (12 Nov 2015 to 8 Dec 2019)
  • Henderson Stone & Co Ltd (no longer approved here)

    FRN 226516

    • (17)Employed By (16 Apr 2014 to 6 Nov 2015)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (16 Apr 2014 to 6 Nov 2015)
  • TSB Bank plc (no longer approved here)

    FRN 191240

    • CF30 Customer (1 Nov 2007 to 8 May 2012)
    • CF22 Investment Adviser (Trainee) (2 Sep 2004 to 31 Oct 2007)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (1 Dec 2001 to 29 Apr 2003)
  • Santander ISA Managers Limited (no longer approved here)

    FRN 171448

    • CF21 Investment Adviser (1 Dec 2001 to 30 Aug 2002)

Recent activity

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

No changes recorded yet.