Nicholas Edward James Carlton-Smith

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.

  • DMH Private Wealth Limited

    FRN 713439

    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Honister Partners Ltd (no longer approved here)

    FRN 502699

    • Employed By (19 May 2010 to 2 Jul 2012)
  • Tudor House Independent Financial Services (no longer approved here)

    FRN 171025

    • Employed By (16 Mar 2004 to 10 Sep 2005)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 29 Mar 2002)

Recent activity

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

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