Carlton Asset Management Limited

• Principal Place of Business

  Broadway House

  Tothill Street

  London

  SW1H 9NQ

  UNITED KINGDOM

  Phone

  +441883744474

  Web

  https://www.carlton.org.uk

• Complaints Contact

  Broadway House

  Tothill Street

  London

  SW1H 9NQ

  UNITED KINGDOM

  Phone

  +441883744474

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Credit Brokering

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Credit Score Services

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  • · Limited to not carrying out credit repair services

• Altus Carl Diener

  IRN AXD00615

  • Responsible for Insurance Distribution (1 Feb 2024 to 3 Sep 2025)
  • SMF3 Executive Director (1 Feb 2024 to 3 Sep 2025)
  • [FCA CF] Functions requiring qualifications (8 Aug 2022 to 15 Aug 2025)
  • [FCA CF] Client dealing (8 Aug 2022 to 15 Aug 2025)
• Andrew Newell Higgs

  IRN AXH00927

  • 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 11 Jul 2025)
  • [FCA CF] Functions requiring qualifications (since 11 Jul 2025)
• David Ronald Reed

  IRN DRR00007

  • CF29 Significant management (9 Jan 2013 to 18 May 2015)
  • CF30 Customer (9 Jan 2013 to 18 May 2015)
• Graeme David Olsen

  IRN GDO00001

  • Director of firm who is not a certification employee or a SMF manager (since 18 Sep 2025)
• Jason Richard John Coppard

  IRN JRC01159

  • [FCA CF] CASS oversight function (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jul 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Jul 2022)
  • SMF3 Executive Director (9 Dec 2019 to 31 Jul 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Jul 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 31 Jul 2022)
  • CF11 Money Laundering Reporting (14 Nov 2016 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (12 Jul 2016 to 31 Jul 2022)
  • CF10 Compliance Oversight (12 Jul 2016 to 8 Dec 2019)
  • CF1 Director (12 Jul 2016 to 8 Dec 2019)
  • CF30 Customer (4 Feb 2016 to 8 Dec 2019)
• Jemma Spencer

  IRN JXG02046

  • Director of firm who is not a certification employee or a SMF manager (since 18 Sep 2025)
• Kevin Worrall

  IRN KXW01427

  • CF30 Customer (6 Mar 2012 to 28 Jun 2012)
• Kimberley Leonard

  IRN KXL15412

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Jul 2022)
  • CF30 Customer (28 May 2019 to 8 Dec 2019)
• Peter Michael Broad

  IRN PMB01179

  • SMF16 Compliance Oversight (23 Sep 2022 to 29 Sep 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (23 Sep 2022 to 29 Sep 2023)
  • SMF3 Executive Director (23 Sep 2022 to 29 Sep 2023)
  • [FCA CF] Manager of certification employee (2 Aug 2022 to 29 Sep 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Sep 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Sep 2023)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 30 Sep 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 30 Sep 2016)
  • CF10 Compliance Oversight (1 Dec 2001 to 30 Sep 2016)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 30 Sep 2016)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Sara Jane Olsen

  IRN SJO01077

  • Responsible for Insurance Distribution (since 4 Oct 2023)
  • SMF16 Compliance Oversight (since 25 Sep 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Sep 2023)
  • SMF3 Executive Director (since 8 Dec 2022)
  • Responsibility for MCD Intermediation (4 Oct 2023 to 19 Dec 2024)

No changes recorded yet.