Roger D Smith

FRN: 983551
Last scraped: 12 hours ago

This firm operates as an appointed representative of Gauntlet Risk Management Ltd. Its regulated business runs under their FCA authorisation, and they're legally responsible for what it does.

Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

35 Newcombe Street

Elland

Calderdale

HX5 0EG

UNITED KINGDOM

Phone

+4401422353360

Recent activity

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

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.