George Oliver Carlton-Smith

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.

  • Carlton Smith Financial Planning Ltd

    FRN 800081

    • 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
    • [FCA CF] Client dealing (since 2 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 2 Mar 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (4 Jun 2018 to 8 Dec 2019)
    • CF1 Director (4 Jun 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Jun 2018 to 8 Dec 2019)
    • CF30 Customer (4 Jun 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (4 Jun 2018 to 30 Sep 2018)
  • Honister Partners Ltd (no longer approved here)

    FRN 502699

    • Employed By (1 Jun 2010 to 2 Jul 2012)
  • Tudor House Independent Financial Services (no longer approved here)

    FRN 171025

    • Employed By (1 Feb 2007 to 8 Dec 2019)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (24 Mar 2004 to 11 Feb 2005)
    • CF22 Investment Adviser (Trainee) (5 Aug 2003 to 24 Mar 2004)

Recent activity

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

No changes recorded yet.