Marcus Reinhard Anthony Carlton

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • HFMC Wealth Management Ltd

    FRN 146717

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 20 Nov 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 20 Nov 2020)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (1 Aug 2007 to 31 Oct 2007)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (1 Apr 2003 to 31 Mar 2009)
    • CF10 Compliance Oversight (25 Oct 2002 to 8 Mar 2010)
    • CF11 Money Laundering Reporting (25 Oct 2002 to 27 Jul 2016)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • HFMC Wealth Limited

    FRN 192999

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 22 Oct 2020)
    • CF1 Director (6 Nov 2019 to 8 Dec 2019)
    • CF30 Customer (15 Aug 2019 to 8 Dec 2019)
  • HFMC Asset Management Limited (no longer approved here)

    FRN 194722

    • SMF3 Executive Director (9 Dec 2019 to 22 Oct 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 26 Mar 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Mar 2024)
    • CF30 Customer (25 Sep 2012 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (16 Dec 2004 to 15 Dec 2006)
    • CF10 Compliance Oversight (25 Oct 2004 to 8 Mar 2010)
    • CF11 Money Laundering Reporting (25 Oct 2004 to 27 Jul 2016)
    • CF21 Investment Adviser (25 Oct 2004 to 15 Dec 2006)
    • CF8 Apportionment and Oversight (25 Oct 2004 to 31 Mar 2009)
    • CF1 Director (25 Oct 2004 to 24 May 2013)

Recent activity

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

No changes recorded yet.