Carolyn Ling

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Where they hold approval

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

PFPS Wealth Management Ltd (no longer approved here)
FRN 498517
- (7)Employed By (7 Oct 2021 to 1 Aug 2023)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Aug 2023)
- CF1 Director (AR) (2 May 2012 to 10 Nov 2021)
- CF30 Customer (12 Dec 2008 to 1 Aug 2023)
Carolyn Ling Financial Planning Ltd (no longer approved here)
FRN 492618
- Employed By (12 Dec 2008 to 1 Aug 2023)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.