Charlotte Irene Tupper

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.

  • Ludice Wealth Management Ltd

    FRN 948646

    • 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)
    • 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 14 Dec 2021)
    • SMF3 Executive Director (since 14 Dec 2021)
    • [FCA CF] Client dealing (since 14 Dec 2021)
    • Responsibility for MCD Intermediation (since 14 Dec 2021)
    • Responsible for Insurance Distribution (since 14 Dec 2021)
    • SMF16 Compliance Oversight (since 14 Dec 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Dec 2021)
  • MONTPELLIER ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 521333

    • CF30 Customer (22 Jul 2014 to 9 Oct 2018)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (27 Aug 2013 to 3 Jun 2014)

Recent activity

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

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