Where they hold approval

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

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 18 Jun 2024)
    • CF30 Customer (since 1 May 2024)
    • CF30 Customer (15 Nov 2021 to 21 Mar 2022)
    • (7)Employed By (since 1 May 2024)
    • (6)Employed By (15 Nov 2021 to 21 Mar 2022)

Recent activity

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

  1. controlled function removed: Employed By at Carter Thompson & Associates Limited

  2. controlled function added: (6)Employed By at Carter Thompson & Associates Limited

  3. controlled function added: (7)Employed By at Carter Thompson & Associates Limited