Caroline Tonya Maxwell

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.

  • HFMC Wealth Limited

    FRN 192999

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (15 Aug 2019 to 8 Dec 2019)
  • HFMC Wealth Partners LLP

    FRN 427640

    • 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
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (15 Feb 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (6 Jun 2005 to 15 Feb 2006)
  • HFMC Asset Management Limited (no longer approved here)

    FRN 194722

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Mar 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 26 Mar 2024)
    • CF30 Customer (12 Oct 2012 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.