Simon John Carter

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.

  • Carter Dawes IFA Solutions Limited

    FRN 457006

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • [FCA CF] Client dealing (since 14 Apr 2022)
    • [FCA CF] Functions requiring qualifications (since 17 Aug 2021)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 16 Aug 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (31 Oct 2006 to 31 Oct 2007)
  • Carter Dawes IFA Solutions Ltd (no longer approved here)

    FRN 223812

    • Employed By (2 Apr 2003 to 31 Oct 2006)

Recent activity

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

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