Martin Smith Independent Financial Adviser Ltd

• Principal Place of Business

  1 Burgh Road

  Aylsham

  Norwich

  NR11 6AJ

  UNITED KINGDOM

  Phone

  +4401263734859

  Web

  https://smithifa.co.uk

• Complaints Contact

  1 Burgh Road

  Aylsham

  Norwich

  NR11 6AJ

  UNITED KINGDOM

  Phone

  +441263734859

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Annabel Kate Hughes

  IRN AXH16591

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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] Client dealing (since 24 Jun 2021)
  • [FCA CF] Functions requiring qualifications (since 24 Jun 2021)
  • [FCA CF] Material risk taker (24 Jun 2021 to 5 Nov 2025)
  • SMF16 Compliance Oversight (24 Jun 2021 to 4 Nov 2025)
  • SMF3 Executive Director (24 Jun 2021 to 4 Nov 2025)
  • [FCA CF] Manager of certification employee (24 Jun 2021 to 5 Nov 2025)
  • [FCA CF] Significant management (24 Jun 2021 to 5 Nov 2025)
• Edward Michael Matless

  IRN EXM20431

  • SMF17 Money Laundering Reporting Officer (MLRO) (24 Jun 2021 to 18 Aug 2023)
  • SMF3 Executive Director (24 Jun 2021 to 18 Aug 2023)
  • [FCA CF] Client dealing (24 Jun 2021 to 22 Aug 2023)
  • [FCA CF] Functions requiring qualifications (24 Jun 2021 to 22 Aug 2023)
  • [FCA CF] Manager of certification employee (24 Jun 2021 to 22 Aug 2023)
  • [FCA CF] Material risk taker (24 Jun 2021 to 22 Aug 2023)
  • [FCA CF] Significant management (24 Jun 2021 to 22 Aug 2023)
• James Reginald Drake

  IRN JXD00730

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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)
  • SMF3 Executive Director (since 25 Oct 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Oct 2023)
  • Responsible for Insurance Distribution (since 25 Oct 2023)
  • [FCA CF] Material risk taker (since 16 Mar 2023)
  • [FCA CF] Client dealing (since 16 Mar 2023)
  • [FCA CF] Functions requiring qualifications (since 16 Mar 2023)
• Martin Howard Smith

  IRN MHS00020

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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)
  • SMF16 Compliance Oversight (since 11 Feb 2026)
  • SMF3 Executive Director (since 24 Jun 2021)
  • [FCA CF] Client dealing (since 24 Jun 2021)
  • [FCA CF] Functions requiring qualifications (since 24 Jun 2021)
  • [FCA CF] Significant management (since 24 Jun 2021)
  • [FCA CF] Material risk taker (since 24 Jun 2021)
  • [FCA CF] Manager of certification employee (since 24 Jun 2021)
  • Responsible for Insurance Distribution (since 24 Jun 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (10 Feb 2021 to 8 Mar 2021)
  • SMF16 Compliance Oversight (10 Feb 2021 to 8 Mar 2021)

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