Carole Patricia Nicholls

Last updated
1 week ago
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Where they hold approval

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

  • Nicholls Stevens (Financial Services) Limited

    FRN 664926

    • 11. Pension transfer specialist
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 21A. Designing scripted questions for execution-only sales of regulated mortgage contracts for a non-business purpose
    • 22. Designing scripted questions for execution-only sales of equity release transactions
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 7 Dec 2016)
    • CF10 Compliance Oversight (3 Aug 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Aug 2015 to 30 Sep 2018)
    • CF30 Customer (3 Aug 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Aug 2015 to 8 Dec 2019)
    • CF1 Director (3 Aug 2015 to 8 Dec 2019)

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