Philip John Carvill

Last updated
5 days ago
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Where they hold approval

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

  • Philip Carvill & Company Limited

    FRN 951157

    • 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
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Dec 2021)
    • SMF16 Compliance Oversight (since 1 Dec 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2021)
    • Responsible for Insurance Distribution (since 1 Dec 2021)
    • [FCA CF] Client dealing (since 1 Dec 2021)
    • SMF3 Executive Director (since 1 Dec 2021)
  • Carleton Financial Planning Limited (no longer approved here)

    FRN 138117

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 25 Nov 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 22 Feb 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 Nov 2021)
    • CF1 Director (AR) (11 Dec 2017 to 25 Nov 2021)
    • CF30 Customer (16 Apr 2012 to 25 Nov 2021)
    • CF11 Money Laundering Reporting (16 Apr 2012 to 4 Nov 2019)
    • CF10 Compliance Oversight (16 Apr 2012 to 19 Sep 2018)
    • CF1 Director (16 Apr 2012 to 9 Sep 2019)
  • Philip Carvill & Co Ltd (no longer approved here)

    FRN 786188

    • Employed By (11 Dec 2017 to 25 Nov 2021)

Recent activity

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

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