Nicholas Frances John Cooling

Last updated
4 days ago
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Where they hold approval

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

  • Pathfinder Wealth Management Ltd

    FRN 1017317

    • 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 3 Mar 2026)
    • [FCA CF] Client dealing (since 2 Mar 2026)
  • My Continuum Wealth Limited (no longer approved here)

    FRN 929955

    • SMF3 Executive Director (16 Jun 2021 to 31 May 2023)
  • INVESTMENT FUND SERVICES LIMITED (no longer approved here)

    FRN 464193

    • [FCA CF] Significant management (27 May 2021 to 26 Nov 2021)
    • SMF3 Executive Director (9 Dec 2019 to 27 May 2021)
    • CF30 Customer (17 Jun 2013 to 8 Dec 2019)
    • CF1 Director (2 Jan 2013 to 8 Dec 2019)
  • Marlborough Investment Management Limited (no longer approved here)

    FRN 115231

    • SMF3 Executive Director (9 Dec 2019 to 31 May 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Jun 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 18 Nov 2019)
  • Parmenion Capital Partners LLP (no longer approved here)

    FRN 462085

    • CF4 Partner (17 Apr 2007 to 11 Jan 2016)

Recent activity

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

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