Carolyn Anne Maud

Last updated
6 days ago
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Where they hold approval

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

  • Tuckers Legal & Financial Services Ltd

    FRN 947911

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 May 2022)
    • [FCA CF] Client dealing (since 9 May 2022)
  • GILBERT STEPHENS FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 579899

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2022)
    • CF30 Customer (8 Oct 2014 to 8 Dec 2019)
  • Schaefer Financial Management Limited (no longer approved here)

    FRN 608960

    • CF30 Customer (15 Jan 2014 to 30 Sep 2014)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (22 Aug 2012 to 14 Jan 2014)
  • Schaefer Financial Management Ltd (no longer approved here)

    FRN 184636

    • Employed By (22 Aug 2012 to 14 Jan 2014)
  • Davisons Financial Planning Ltd (no longer approved here)

    FRN 503295

    • Employed By (28 May 2010 to 17 Sep 2012)
  • Lyn Financial Services Limited (1678) (no longer approved here)

    FRN 179802

    • (17)Employed By (22 Sep 2005 to 28 Dec 2006)

Recent activity

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

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