Caroline Anderson

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.

  • Caroline Anderson IFA LTD

    FRN 845012

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 26 Jun 2020)
    • Responsible for Insurance Distribution (since 26 Jun 2020)
    • Responsibility for MCD Intermediation (since 26 Jun 2020)
    • SMF3 Executive Director (since 26 Jun 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Jun 2020)
    • [FCA CF] Functions requiring qualifications (since 12 Dec 2019)
    • [FCA CF] Client dealing (since 12 Dec 2019)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • [FCA CF] Functions requiring qualifications (30 Sep 2025 to 5 Feb 2026)
    • [FCA CF] Client dealing (30 Sep 2025 to 5 Feb 2026)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (5 Nov 2010 to 18 Feb 2011)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 25 Nov 2010)
    • CF21 Investment Adviser (18 Mar 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (5 Jan 2005 to 18 Mar 2005)
  • Caroline Anderson (no longer approved here)

    FRN 416051

    • Employed By (8 Dec 2004 to 10 Dec 2004)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (1 Dec 2001 to 10 Dec 2004)

Recent activity

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

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