Derek Peter CARROLL

Last updated
1 week ago
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Where they hold approval

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

  • Andrea Irving-Morse Associates Limited

    FRN 754546

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • [FCA CF] Functions requiring qualifications (since 29 Nov 2021)
    • [FCA CF] Client dealing (since 29 Nov 2021)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Client dealing (15 Apr 2021 to 26 Nov 2021)
    • [FCA CF] Functions requiring qualifications (15 Apr 2021 to 26 Nov 2021)

Recent activity

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

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