Anthony Caldwell

Last updated
5 days ago
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Where they hold approval

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

  • Vita Financial Planning Ltd

    FRN 987228

    • 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 3 Jul 2023)
    • SMF3 Executive Director (since 3 Jul 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Jul 2023)
    • Responsible for Insurance Distribution (since 3 Jul 2023)
    • [FCA CF] Functions requiring qualifications (since 3 Jul 2023)
    • SMF16 Compliance Oversight (since 3 Jul 2023)
  • The Tavistock Partnership Limited (no longer approved here)

    FRN 519014

    • [FCA CF] Client dealing (18 May 2021 to 30 Jun 2023)
    • Appointed representative dealing with clients for which they require qualification (18 May 2021 to 30 Jun 2023)
    • CF1 Director (AR) (7 May 2021 to 30 Jun 2023)
    • CF30 Customer (7 May 2021 to 30 Jun 2023)
    • [FCA CF] Functions requiring qualifications (22 Jan 2021 to 18 May 2021)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Jan 2021)
    • CF1 Director (AR) (3 Apr 2013 to 30 Jan 2021)
    • CF30 Customer (1 Nov 2007 to 30 Jan 2021)
    • CF21 Investment Adviser (18 Jul 2006 to 31 Oct 2007)
  • Ayot Mead Ltd (no longer approved here)

    FRN 454032

    • Employed By (18 Jul 2006 to 30 Jan 2021)

Recent activity

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

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