Mark Carter

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.

  • HW Financial Services Limited

    FRN 134190

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 26 Feb 2025)
    • [FCA CF] Functions requiring qualifications (since 26 Feb 2025)
  • Evelyn Partners Financial Planning Limited

    FRN 136414

    • 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 26 Feb 2025)
    • [FCA CF] Client dealing (since 26 Feb 2025)
  • ASCOT LLOYD FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 144519

    • [FCA CF] Manager of certification employee (28 Jun 2021 to 31 Jan 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2025)
    • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
  • Grant Thornton UK LLP (no longer approved here)

    FRN 231791

    • CF30 Customer (15 Dec 2016 to 29 Nov 2019)
  • Gallagher Risk & Reward Limited (no longer approved here)

    FRN 184711

    • CF30 Customer (1 Jun 2014 to 5 Mar 2015)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • CF30 Customer (2 Mar 2012 to 8 Aug 2012)

Recent activity

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

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