Alison Carter

Watch for changes

Where they hold approval

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

Openwork Limited (no longer approved here)
FRN 408285
- CF30 Customer (25 May 2012 to 25 May 2012)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (10 Dec 2010 to 14 May 2012)
Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- CF21 Investment Adviser (3 Apr 2007 to 1 May 2007)
Lighthouse Financial Advice Limited (no longer approved here)
FRN 225502
- (218)Employed By (3 Apr 2007 to 1 May 2007)
Liverpool Victoria Financial Advice Services Limited (no longer approved here)
FRN 186890
- CF21 Investment Adviser (12 Feb 2007 to 26 Apr 2007)
- CF22 Investment Adviser (Trainee) (1 Sep 2006 to 12 Feb 2007)
The On-Line Partnership Limited (no longer approved here)
FRN 192638
- CF22 Investment Adviser (Trainee) (6 Apr 2005 to 25 Aug 2006)
Armchair Finance UK Ltd (no longer approved here)
FRN 221389
- Employed By (17 Jun 2004 to 19 Oct 2004)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.