Carole Alison Waghorne

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • David Booler & Company

    FRN 146287

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 11. Pension transfer specialist
    • SMF16 Compliance Oversight (since 3 Oct 2024)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • CF30 Customer (since 15 Jan 2010)
    • CF4 Partner (12 Apr 2013 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 6 Feb 2008)
    • CF21 Investment Adviser (21 Aug 2006 to 31 Oct 2007)
  • David Booler SIPP Trustees Limited

    FRN 465550

    • SMF16 Compliance Oversight (since 3 Oct 2024)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (12 Apr 2013 to 8 Dec 2019)
  • Integra Wealth Management Limited

    FRN 835254

    • (5)Employed By (since 7 Mar 2019)
  • B W Financial Services Limited

    FRN 189042

    • (9)Employed By (since 8 Feb 2019)
  • Ballards FS Limited

    FRN 224308

    • (11)Employed By (since 8 Feb 2019)
  • Vaughan Davies & Co (Pensions & Investments) Limited

    FRN 708693

    • (10)Employed By (since 8 Feb 2019)
  • Nicholsons PSP Limited

    FRN 223754

    • (4)Employed By (since 24 Oct 2016)
  • Spencer Hyde Financial Services Limited (no longer approved here)

    FRN 498074

    • Employed By (8 Feb 2019 to 13 Dec 2022)

Recent activity

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

  1. controlled function removed: Employed By at Vaughan Davies & Co (Pensions & Investments) Limited

  2. controlled function added: (10)Employed By at Vaughan Davies & Co (Pensions & Investments) Limited

  3. controlled function removed: Employed By at Nicholsons PSP Limited

  4. controlled function added: (4)Employed By at Nicholsons PSP Limited

  5. controlled function removed: Employed By at Integra Wealth Management Limited

  6. controlled function added: (5)Employed By at Integra Wealth Management Limited

  7. controlled function removed: Employed By at Ballards FS Limited

  8. controlled function added: (11)Employed By at Ballards FS Limited

  9. controlled function removed: Employed By at B W Financial Services Limited

  10. controlled function added: (9)Employed By at B W Financial Services Limited