David Carroll

Last updated
2 weeks ago
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Where they hold approval

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

  • Arundel Wealth Management Limited

    FRN 465838

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 23 Nov 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Sep 2021)
    • [FCA CF] Client dealing (since 1 Sep 2021)
  • Hamish Leng & Company Limited (no longer approved here)

    FRN 461391

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Sep 2021)
    • CF30 Customer (18 Jan 2019 to 8 Dec 2019)
  • Seven Investment Management LLP (no longer approved here)

    FRN 589124

    • CF4 Partner (18 Sep 2013 to 7 Nov 2018)
    • CF30 Customer (1 Mar 2013 to 7 Nov 2018)
  • Killik & Co LLP (no longer approved here)

    FRN 462016

    • CF30 Customer (1 Nov 2007 to 20 Dec 2007)
    • CF27 Investment Management (2 Apr 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.