Carr & Associates LLP

Date authorised
1 April 2013
Companies House
OC345424
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Carr & Associates
    44 Old Hall Street
    Liverpool
    L3 9PP
    UNITED KINGDOM
    Phone
    +4401512275528

  • Complaints Contact

    Carr & Associates
    44 Old Hall Street
    Liverpool
    L3 9PP
    UNITED KINGDOM
    Phone
    +4401512275528

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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 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

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Geoffrey Clive Parker

    IRN GCP00001

    • CF30 Customer (30 Jul 2009 to 30 Apr 2010)
  • Gillian Marjorie Jacklin

    IRN GMJ01046

    • CF4 Partner (30 Jul 2009 to 27 Aug 2019)
  • Graham Robert Reece

    IRN GXR16921

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (19 Aug 2019 to 8 Dec 2019)
  • Peter O'Hare

    IRN PXO00005

    • CF30 Customer (30 Jul 2009 to 31 Dec 2009)
  • William John Jacklin

    IRN WJJ00003

    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF4 Partner (30 Jul 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Jul 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (30 Jul 2009 to 8 Dec 2019)
    • CF30 Customer (30 Jul 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (30 Jul 2009 to 30 Sep 2018)

Recent activity

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

No changes recorded yet.