Neale Cooke

Last updated
5 days ago
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Where they hold approval

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

  • Principled Limited

    FRN 982589

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 2 May 2023)
    • Responsible for Insurance Distribution (since 2 May 2023)
    • SMF16 Compliance Oversight (since 2 May 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 May 2023)
    • SMF3 Executive Director (since 2 May 2023)
    • [FCA CF] Client dealing (since 2 May 2023)
  • Pura Vida Financial Planning Ltd (no longer approved here)

    FRN 950060

    • [FCA CF] Functions requiring qualifications (1 Oct 2021 to 31 Oct 2022)
    • [FCA CF] Client dealing (1 Oct 2021 to 31 Oct 2022)
  • ELDON FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 221354

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Sep 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2021)
    • CF30 Customer (2 Feb 2016 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.