Michael Emmet 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.

  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (11 May 2021 to 11 Mar 2022)
    • CF30 Customer (22 Apr 2021 to 11 Mar 2022)
  • Argyll Wealth Consultants Limited (no longer approved here)

    FRN 402019

    • (1)Employed By (22 Apr 2021 to 11 Mar 2022)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • [FCA CF] Functions requiring qualifications (6 Jul 2020 to 14 Feb 2021)
    • [FCA CF] Client dealing (6 Jul 2020 to 14 Feb 2021)
    • CF30 Customer (8 Oct 2013 to 8 Dec 2019)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 4 Oct 2013)
    • CF21 Investment Adviser (21 Nov 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (17 Mar 2005 to 21 Nov 2005)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 7 Aug 2002)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF21 Investment Adviser (1 Dec 2001 to 17 Jul 2002)
  • TSB Bank plc (no longer approved here)

    FRN 191240

    • CF21 Investment Adviser (1 Dec 2001 to 17 Mar 2005)

Recent activity

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

No changes recorded yet.