W.A. SMITH INSURANCE BROKERS LIMITED

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

P2P Lending Advice

For Commercial, Retail (Non-Investment Insurance)
Investment Advice (no pensions)

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
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, Retail (Non-Investment Insurance), Non-investment insurance contracts
Insurance Admin

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Credit Brokering
Stockbroking

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Debt Plan Admin
Debt Collection
Loan Servicing
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- · This permission is limited to activities in relation to existing regulated credit agreements.
Investment Setup

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

Senior staff personally approved by the FCA to hold their roles here.

Michael James Smith
IRN MJS01403
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsible for Insurance Mediation (19 Feb 2016 to 30 Sep 2018)
- CF11 Money Laundering Reporting (19 Feb 2016 to 8 Dec 2019)
- CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
- CF1 Director (14 Jan 2005 to 8 Dec 2019)
Philip William Smith
IRN PWS01066
- CF1 Director (14 Jan 2005 to 5 Apr 2017)
- Responsible for Insurance Mediation (14 Jan 2005 to 5 Apr 2017)
Susan Pritchard
IRN SXP01503
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (14 Jan 2005 to 8 Dec 2019)

Smaller firms operating under this firm's FCA authorisation.

Howard Pearson (no longer appointed)
FRN 405529 · Appointed 14 Jan 2005 · Until 30 Nov 2005

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

No changes recorded yet.

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.