Toby Joseph 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.

  • CG Wealth Planning Limited

    FRN 594155

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Manager of certification employee (since 1 Apr 2023)
    • [FCA CF] Client dealing (since 1 Apr 2023)
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2023)
  • Canaccord Genuity Wealth Limited (no longer approved here)

    FRN 194927

    • [FCA CF] Functions requiring qualifications (7 Apr 2023 to 29 Nov 2023)
    • [FCA CF] Client dealing (7 Apr 2023 to 29 Nov 2023)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF21 Investment Adviser (19 Aug 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Sep 2004 to 19 Aug 2005)

Recent activity

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

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