Where they hold approval

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

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 25 Feb 2009)
    • (4)Employed By (since 8 Apr 2009)
    • (7)Employed By (1 Oct 2003 to 28 Jan 2005)
  • Roseberry Financial Limited (no longer approved here)

    FRN 492897

    • (4)Employed By (25 Feb 2009 to 8 Apr 2009)

Recent activity

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

  1. controlled function removed: Employed By at Carter Thompson & Associates Limited

  2. controlled function added: (7)Employed By at Carter Thompson & Associates Limited

  3. controlled function added: (4)Employed By at Carter Thompson & Associates Limited