Ian Thomas Scott Carswell

Last updated
3 weeks ago
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Where they hold approval

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

  • Henry F Dodds Wealth Management Limited

    FRN 144716

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Dec 2020)
    • Responsible for Insurance Distribution (since 4 Dec 2020)
    • SMF16 Compliance Oversight (since 4 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (29 Dec 2017 to 8 Dec 2019)
    • CF30 Customer (16 May 2014 to 8 Dec 2019)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF22 Investment Adviser (Trainee) (16 Jul 2003 to 3 Jun 2005)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF22 Investment Adviser (Trainee) (16 Jul 2003 to 3 Jun 2005)

Recent activity

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

No changes recorded yet.