Michael James Cole

Last updated
1 week ago
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Where they hold approval

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

  • Scottish Widows Schroder Personal Wealth Limited

    FRN 830170

    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 19 Dec 2023)
    • [FCA CF] Client dealing (since 17 Mar 2022)
    • [FCA CF] Manager of certification employee (since 1 Mar 2021)
    • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
  • Scottish Widows Schroder Personal Wealth (ACD) Limited (no longer approved here)

    FRN 834833

    • [FCA CF] Client dealing (1 Mar 2022 to 26 Feb 2024)
    • [FCA CF] Material risk taker (26 May 2021 to 26 Feb 2024)
    • [FCA CF] Manager of certification employee (1 Mar 2021 to 26 Feb 2024)
  • Aviva Investors Global Services Limited (no longer approved here)

    FRN 119178

    • CF30 Customer (1 Nov 2007 to 13 Dec 2013)
    • CF27 Investment Management (23 May 2005 to 31 Oct 2007)

Recent activity

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

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