Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Carlton Financial Planning Ltd
FRN 227534
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Responsible for Insurance Distribution (since 16 Apr 2024)
- SMF16 Compliance Oversight (since 16 Apr 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Apr 2024)
- SMF3 Executive Director (since 16 Apr 2024)
- [FCA CF] Client dealing (since 10 May 2021)
- [FCA CF] Functions requiring qualifications (since 10 May 2021)
Recent activity
Updates to this individual's record on the FCA register.
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