Stephen John Carpenter

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.

  • RBC Europe Limited

    FRN 124543

    • 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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2024)
    • [FCA CF] Client dealing (since 4 Nov 2024)
    • [FCA CF] Manager of certification employee (since 4 Nov 2024)
  • Sense Network Limited (no longer approved here)

    FRN 465124

    • CF30 Customer (6 Feb 2012 to 23 Apr 2012)
  • Origen Financial Services Limited (no longer approved here)

    FRN 192666

    • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2005)

Recent activity

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

No changes recorded yet.