Matthew Roy Cole

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.

  • Capital Tower Limited

    FRN 547717

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Jan 2016 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 26 Jun 2008)
    • CF21 Investment Adviser (23 Jul 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (13 Jan 2006 to 23 Jul 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (26 Feb 2004 to 13 Jan 2006)
    • CF22 Investment Adviser (Trainee) (13 May 2003 to 26 Feb 2004)

Recent activity

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

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