Adam Miles Charlton Smith

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Appointed representative dealing with clients for which they require qualification (since 20 Oct 2021)
    • CF30 Customer (since 30 Sep 2021)
  • Adam Smith

    FRN 950972

    • (1)Employed By (since 30 Sep 2021)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Client dealing (18 Mar 2020 to 7 Apr 2021)
    • [FCA CF] Functions requiring qualifications (18 Mar 2020 to 7 Apr 2021)
    • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 17 Jul 2002)

Recent activity

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

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