Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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St. James's Place Wealth Management Plc
FRN 195351
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 7. Giving personal recommendations on long-term care insurance contracts
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 21. Advising or arranging (bringing about) equity release transactions
- Appointed representative dealing with clients for which they require qualification (since 13 Sep 2021)
- CF30 Customer (since 3 Sep 2021)
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Cole Financial Associates Limited
FRN 778962
- Employed By (since 3 Sep 2021)
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- [FCA CF] Functions requiring qualifications (3 Dec 2019 to 31 May 2021)
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- CF30 Customer (11 Aug 2008 to 4 May 2012)
- CF21 Investment Adviser (20 Aug 2007 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (11 Dec 2006 to 20 Aug 2007)
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- CF30 Customer (28 Apr 2008 to 9 Jul 2008)
- CF21 Investment Adviser (1 Dec 2001 to 22 Sep 2003)
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- CF21 Investment Adviser (5 Aug 2004 to 27 Aug 2004)
- CF22 Investment Adviser (Trainee) (9 Jun 2004 to 5 Aug 2004)
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- 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.