Caroline Tye

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • LGT Wealth Management Limited

    FRN 466684

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 18 Sep 2025)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 31 Jan 2026)
    • CF1 Director (27 Sep 2013 to 8 Dec 2019)
    • CF30 Customer (26 Sep 2013 to 8 Dec 2019)
  • LGT Wealth Management UK LLP

    FRN 471048

    • SMF27 Partner (since 19 Jun 2024)
    • [FCA CF] Material risk taker (since 2 Sep 2023)
  • ABERDEEN PORTFOLIO SOLUTIONS LIMITED (no longer approved here)

    FRN 623682

    • [FCA CF] Material risk taker (1 Jan 2023 to 1 Sep 2023)
    • [FCA CF] Manager of certification employee (2 May 2022 to 1 Sep 2023)
    • [FCA CF] Significant management (2 May 2022 to 1 Sep 2023)
  • ASCOT LLOYD FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 144519

    • [FCA CF] Manager of certification employee (2 May 2022 to 1 Sep 2023)
    • [FCA CF] Significant management (2 May 2022 to 1 Sep 2023)
  • Newton Investment Management Limited (no longer approved here)

    FRN 119331

    • CF1 Director (7 Mar 2012 to 4 Mar 2013)
    • CF30 Customer (1 Nov 2007 to 28 Sep 2013)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • BNY Mellon Investment Management EMEA Limited (no longer approved here)

    FRN 119196

    • CF27 Investment Management (1 Dec 2001 to 8 Jan 2002)

Recent activity

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

No changes recorded yet.