David Alexander Carroll

Watch for changes

Where they hold approval

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

Forester Life Limited
FRN 177898
- [FCA CF] Client dealing (since 26 Apr 2024)
Phoenix Wealth Services Limited (no longer approved here)
FRN 465753
- CF30 Customer (7 Sep 2010 to 22 Jan 2013)
Aviva Administration Limited (no longer approved here)
FRN 185746
- CF30 Customer (10 Feb 2010 to 16 Sep 2010)
Liverpool Victoria Financial Advice Services Limited (no longer approved here)
FRN 186890
- CF21 Investment Adviser (28 Jun 2006 to 15 Sep 2006)
- CF22 Investment Adviser (Trainee) (29 Sep 2005 to 28 Jun 2006)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF22 Investment Adviser (Trainee) (22 Jun 2004 to 15 Jul 2005)

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.