Carolyn Anne Gowen

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.

  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Jul 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (25 Nov 2004 to 31 Oct 2007)
    • CF27 Investment Management (25 Nov 2004 to 31 Oct 2007)
  • Charteris Treasury Portfolio Managers Limited (no longer approved here)

    FRN 114952

    • CF1 Director (4 Jan 2002 to 7 Nov 2002)
    • CF27 Investment Management (13 Dec 2001 to 3 Jan 2002)
    • CF24 Pension Transfer Specialist (13 Dec 2001 to 3 Jan 2002)
    • CF22 Investment Adviser (Trainee) (13 Dec 2001 to 3 Jan 2002)
    • CF26 Customer Trading (1 Dec 2001 to 7 Nov 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 7 Nov 2002)

Recent activity

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

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