James Ian Philip Carroll

Last updated
2 weeks ago
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Where they hold approval

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

  • HUGHES FIRMAN OVEL ASSET MANAGEMENT LIMITED

    FRN 469482

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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 9 Dec 2019)
    • CF30 Customer (13 Oct 2010 to 8 Dec 2019)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (8 Jul 2009 to 1 Nov 2010)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (7 Jul 2008 to 21 Jul 2009)
  • Jigsaw Financial Management Ltd (no longer approved here)

    FRN 231801

    • (20)Employed By (7 Jul 2008 to 21 Jul 2009)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 23 Jul 2008)
    • CF21 Investment Adviser (28 Aug 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (14 Jun 2006 to 28 Aug 2007)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF22 Investment Adviser (Trainee) (22 Jul 2004 to 14 Feb 2005)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF22 Investment Adviser (Trainee) (22 Jul 2004 to 14 Feb 2005)
  • Compass Financial Planning Limited (no longer approved here)

    FRN 401672

    • Employed By (22 Jul 2004 to 14 Feb 2005)

Recent activity

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

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