Deborah Carter

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.

  • Clearwater Independent Financial Planning Limited

    FRN 610800

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • Responsible for Insurance Mediation (26 Jul 2018 to 30 Sep 2018)
    • CF10 Compliance Oversight (20 Sep 2017 to 8 Dec 2019)
    • CF30 Customer (25 Sep 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 May 2014 to 8 Dec 2019)
    • CF1 Director (1 May 2014 to 8 Dec 2019)
  • Pegasus Portfolio Planning LLP (no longer approved here)

    FRN 446163

    • CF1 Director (AR) (3 Oct 2006 to 29 Oct 2007)
  • Clearwater Financial Planning (Kirkham) Ltd (no longer approved here)

    FRN 457668

    • Employed By (3 Oct 2006 to 29 Oct 2007)

Recent activity

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

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