Carl Anthony Wallis

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Where they hold approval

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

Quilter Financial Planning Solutions Limited
FRN 184591
- [FCA CF] Significant management (since 29 Oct 2024)
Lighthouse Advisory Services Limited
FRN 195199
- [FCA CF] Significant management (since 29 Oct 2024)
QUILTER WEALTH LIMITED
FRN 217742
- [FCA CF] Significant management (since 29 Oct 2024)
QUILTER FINANCIAL SERVICES LIMITED
FRN 440703
- [FCA CF] Significant management (since 29 Oct 2024)
Quilter Mortgage Planning Limited
FRN 440718
- [FCA CF] Significant management (since 29 Oct 2024)
Quilter Financial Limited
FRN 497604
- [FCA CF] Significant management (since 29 Oct 2024)
Fairstone Wealth Management Limited (no longer approved here)
FRN 188596
- SMF16 Compliance Oversight (7 Jul 2023 to 11 Oct 2024)
Fairstone Financial Management Limited (no longer approved here)
FRN 475973
- SMF16 Compliance Oversight (7 Jul 2023 to 11 Oct 2024)

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.