Where they hold approval

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

    • 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] Client dealing (since 29 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 29 Mar 2021)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (29 Jul 2019 to 1 Jul 2020)
  • Ian Cockbain Wealth Management Limited (no longer approved here)

    FRN 416200

    • (7)Employed By (29 Jul 2019 to 1 Jul 2020)

Recent activity

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

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