David Ian Carrick

Watch for changes

Where they hold approval

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

2 Plan Wealth Management Limited
FRN 461598
- SMF18 Other Overall Responsibility (since 27 Nov 2025)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- [FCA CF] Manager of certification employee (1 Jul 2025 to 5 Aug 2025)
Legal and General Assurance Society Limited (no longer approved here)
FRN 117659
- CF21 Investment Adviser (22 Dec 2004 to 29 Oct 2007)
Legal & General (Unit Trust Managers) Limited (no longer approved here)
FRN 119273
- CF21 Investment Adviser (22 Dec 2004 to 29 Oct 2007)

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.