Stephen Richard Cole

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.

  • AFH Independent Financial Services Limited

    FRN 216704

    • 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] Client dealing (since 14 Aug 2020)
    • [FCA CF] Functions requiring qualifications (since 14 Aug 2020)
  • New Leaf Distribution Limited (no longer approved here)

    FRN 460421

    • CF30 Customer (12 Mar 2014 to 8 Mar 2017)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF30 Customer (26 Apr 2013 to 3 Jun 2014)
  • Neil Proctor (no longer approved here)

    FRN 189630

    • (5)Employed By (4 Apr 2000 to 13 Jul 2012)

Recent activity

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

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