Nicholas John Cowen

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.

  • Vintage Wealth Management Limited

    FRN 593380

    • 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)
    • 21. Advising or arranging (bringing about) equity release transactions
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Manager of certification employee (since 28 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 23 Nov 2021)
    • [FCA CF] Client dealing (since 23 Nov 2021)
    • Appointed representative dealing with clients for which they require qualification (since 23 Nov 2021)
    • CF30 Customer (24 Jun 2022 to 14 Aug 2024)
    • CF1 Director (AR) (24 Jun 2022 to 14 Aug 2024)
  • Statehouse Financial Management Limited

    FRN 401761

    • 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)
    • 11. Pension transfer specialist
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (since 25 Oct 2012)
    • CF30 Customer (since 1 Nov 2007)
    • CF11 Money Laundering Reporting (13 Jan 2012 to 8 Dec 2019)
    • CF1 Director (AR) (4 Oct 2007 to 14 Mar 2011)
    • CF24 Pension Transfer Specialist (22 Feb 2006 to 31 Oct 2007)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (5 Oct 2004 to 28 Oct 2005)
    • CF8 Apportionment and Oversight (5 Oct 2004 to 31 Mar 2009)
    • CF21 Investment Adviser (5 Oct 2004 to 31 Oct 2007)
    • CF1 Director (5 Oct 2004 to 8 Dec 2019)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF21 Investment Adviser (31 Oct 2003 to 4 Oct 2004)
    • CF1 Director (AR) (31 Oct 2003 to 4 Oct 2004)
  • Statehouse Financial Management Limited (no longer approved here)

    FRN 229116

    • (3)Employed By (31 Oct 2003 to 4 Oct 2004)
  • Church's Financial Planning Limited (no longer approved here)

    FRN 160494

    • CF21 Investment Adviser (1 Dec 2001 to 16 Jan 2002)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 16 Jan 2002)
    • CF1 Director (1 Dec 2001 to 16 Jan 2002)

Recent activity

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

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