Caroline Emma Allen

Last updated
3 weeks ago
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Where they hold approval

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

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Appointed representative dealing with clients for which they require qualification (since 11 Jun 2021)
    • CF1 Director (AR) (since 7 Jun 2021)
    • CF30 Customer (since 7 Jun 2021)
  • Yorkshire Financial Planning Ltd

    FRN 950350

    • Employed By (since 7 Jun 2021)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • [FCA CF] Manager of certification employee (7 Mar 2016 to 1 Jan 2021)
    • CF30 Customer (1 Nov 2007 to 21 Oct 2013)
    • CF22 Investment Adviser (Trainee) (29 May 2007 to 31 Oct 2007)

Recent activity

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

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