David Carroll

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • R.A. Cowen & Partners (Financial Services) Limited

    FRN 126112

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • SMF16 Compliance Oversight (since 10 Oct 2023)
    • Responsibility for MCD Intermediation (since 10 Oct 2023)
    • Responsible for Insurance Distribution (since 10 Oct 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Oct 2023)
    • [FCA CF] Manager of certification employee (since 22 Aug 2023)
    • CF1 Director (AR) (since 24 Sep 2020)
    • SMF3 Executive Director (since 5 Aug 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (17 Dec 2018 to 8 Dec 2019)
  • Cowens Mortgage Solutions Limited

    FRN 967252

    • (2)Employed By (since 31 May 2022)
  • Cowens Employee Benefits Ltd

    FRN 603624

    • (3)Employed By (since 24 Sep 2020)

Recent activity

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

  1. controlled function removed: Employed By at Cowens Mortgage Solutions Limited

  2. controlled function added: (2)Employed By at Cowens Mortgage Solutions Limited

  3. controlled function removed: Employed By at Cowens Employee Benefits Ltd

  4. controlled function added: (3)Employed By at Cowens Employee Benefits Ltd