Caroline Elisabeth Devonshire

Last updated
2 weeks ago
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Where they hold approval

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

  • Athena Wealth Planning Limited

    FRN 627636

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 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)
    • [FCA CF] Manager of certification employee (since 16 Jun 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 16 Jun 2021)
    • CF11 Money Laundering Reporting (8 Oct 2014 to 8 Dec 2019)
    • CF1 Director (8 Oct 2014 to 8 Dec 2019)
    • CF30 Customer (8 Oct 2014 to 8 Dec 2019)
  • Partners Wealth Management LLP (no longer approved here)

    FRN 442303

    • CF30 Customer (3 Jun 2013 to 30 Sep 2014)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF21 Investment Adviser (1 Jul 2007 to 15 Oct 2007)

Recent activity

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

No changes recorded yet.