Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Openwork Limited
FRN 408285
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 12 Nov 2025)
- CF30 Customer (since 11 Nov 2025)
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Carter Thompson & Associates Limited
FRN 191174
- (5)Employed By (since 11 Nov 2025)
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- [FCA CF] Client dealing (1 Feb 2024 to 21 Mar 2025)
- [FCA CF] Functions requiring qualifications (1 Feb 2024 to 21 Mar 2025)
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- [FCA CF] Functions requiring qualifications (1 Feb 2024 to 21 Mar 2025)
- [FCA CF] Client dealing (1 Feb 2024 to 21 Mar 2025)
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- CF1 Director (AR) (26 Nov 2018 to 4 Nov 2019)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Carter Thompson & Associates Limited
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controlled function added: (5)Employed By at Carter Thompson & Associates Limited