James Ian Carter

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Where they hold approval

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

Chase de Vere Independent Financial Advisers limited (no longer approved here)
FRN 137914
- [FCA CF] Client dealing (9 Dec 2019 to 5 Jan 2024)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Jan 2024)
- CF30 Customer (21 Jan 2015 to 8 Dec 2019)
Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- CF30 Customer (12 Nov 2013 to 17 Jan 2015)
Lighthouse Financial Advice Limited (no longer approved here)
FRN 225502
- (390)Employed By (12 Nov 2013 to 17 Jan 2015)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (1 Jul 2011 to 30 Sep 2013)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.