Mark James Carter

Last updated
3 weeks ago
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Where they hold approval

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

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 21. Advising or arranging (bringing about) equity release transactions
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 9 Aug 2019)
    • CF4 Partner (AR) (2 Oct 2019 to 19 Dec 2020)
  • Sovereign Wealth Limited

    FRN 471459

    • (48)Employed By (since 9 Aug 2019)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (5 Jan 2011 to 29 Jul 2013)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (4 Mar 2009 to 16 Sep 2009)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 16 Nov 2007)
    • CF22 Investment Adviser (Trainee) (3 May 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.