Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Openwork Limited
FRN 408285
- 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)
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Carter Thompson & Associates Limited
FRN 191174
- (4)Employed By (since 8 Apr 2009)
- (7)Employed By (1 Oct 2003 to 28 Jan 2005)
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- (4)Employed By (25 Feb 2009 to 8 Apr 2009)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Carter Thompson & Associates Limited
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controlled function added: (7)Employed By at Carter Thompson & Associates Limited
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controlled function added: (4)Employed By at Carter Thompson & Associates Limited