Richard Carter

Last updated
3 weeks ago
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Where they hold approval

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

  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • [FCA CF] Client dealing (7 Mar 2016 to 7 Mar 2016)
    • CF30 Customer (7 Sep 2009 to 25 Feb 2016)
  • Numis Securities Limited (no longer approved here)

    FRN 144822

    • CF30 Customer (1 Nov 2007 to 6 Jul 2009)
    • CF21 Investment Adviser (13 Jun 2003 to 31 Oct 2007)
  • Investec Bank PLC (no longer approved here)

    FRN 172330

    • CF21 Investment Adviser (27 Mar 2002 to 27 Feb 2003)
  • CANACCORD GENUITY ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 209741

    • CF21 Investment Adviser (1 Dec 2001 to 8 Mar 2002)

Recent activity

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

No changes recorded yet.