Carl Dooley

Watch for changes

Where they hold approval

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

TD Execution Services Limited
FRN 472780
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (26 Sep 2019 to 8 Dec 2019)
Deutsche Bank AG (no longer approved here)
FRN 150018
- [FCA CF] Manager of certification employee (29 Jan 2018 to 30 Oct 2018)
- [FCA CF] Client dealing (6 Nov 2017 to 16 Aug 2019)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (12 May 2015 to 6 Mar 2016)
Goldman Sachs International Bank (no longer approved here)
FRN 124659
- CF30 Customer (11 Apr 2013 to 11 May 2015)
Goldman Sachs Bank USA (no longer approved here)
FRN 582328
- CF30 Customer (21 Mar 2013 to 11 May 2015)

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.