Mark Stephen Carroll

Last updated
1 week ago
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Where they hold approval

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

  • Mark Carroll

    FRN 923398

    • 14. Managing investments
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Functions requiring qualifications (since 26 Aug 2020)
    • Sole trader dealing with clients for which they require qualification (since 26 Aug 2020)
    • [FCA CF] Client dealing (since 26 Aug 2020)
  • PRG Financial Planners Limited (no longer approved here)

    FRN 592781

    • (22)Employed By (23 Oct 2013 to 14 Jan 2015)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (7 Feb 2011 to 4 Mar 2011)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (15 Feb 2010 to 31 Oct 2012)
  • Christopher Smith (no longer approved here)

    FRN 512261

    • Employed By (15 Feb 2010 to 31 Oct 2012)
  • HCL BANK HOUSE FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 400529

    • CF30 Customer (1 Nov 2007 to 30 Apr 2009)
    • CF22 Investment Adviser (Trainee) (24 Apr 2007 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 16 Apr 2007)

Recent activity

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

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