Adrian Hugh Smith

Last updated
3 weeks ago
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Where they hold approval

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

  • Adrian Smith Wealth Management Limited

    FRN 680893

    • (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (5)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (4)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (7)[FCA CF] Client dealing (since 9 Dec 2019)
    • (6)SMF3 Executive Director (since 9 Dec 2019)
    • (8)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (3)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (11)[FCA CF] Manager of certification employee (9 Dec 2019 to 21 Dec 2020)
    • (9)CF11 Money Laundering Reporting (1 Oct 2015 to 8 Dec 2019)
    • (10)CF10 Compliance Oversight (1 Oct 2015 to 8 Dec 2019)
    • (12)CF1 Director (1 Oct 2015 to 8 Dec 2019)
    • (7)Responsible for Insurance Mediation (1 Oct 2015 to 30 Sep 2018)
    • (8)CF30 Customer (1 Oct 2015 to 8 Dec 2019)
  • Chamberlain Associates (no longer approved here)

    FRN 221653

    • CF11 Money Laundering Reporting (1 Jan 2013 to 1 Apr 2016)
    • CF10 Compliance Oversight (1 Jan 2013 to 1 Apr 2016)
    • Responsible for Insurance Mediation (13 Dec 2012 to 4 Apr 2016)
    • CF30 Customer (1 Nov 2007 to 9 Aug 2016)
    • CF4 Partner (12 Sep 2005 to 9 Aug 2016)
    • CF21 Investment Adviser (23 May 2003 to 31 Oct 2007)

Recent activity

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

  1. controlled function added: (9)CF11 Money Laundering Reporting at Adrian Smith Wealth Management Limited

  2. controlled function added: (10)CF10 Compliance Oversight at Adrian Smith Wealth Management Limited

  3. controlled function added: (11)[FCA CF] Manager of certification employee at Adrian Smith Wealth Management Limited

  4. controlled function added: (12)CF1 Director at Adrian Smith Wealth Management Limited

  5. controlled function added: (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at Adrian Smith Wealth Management Limited

  6. controlled function added: (2)4. Giving personal recommendations on retail investment products which are not broker funds at Adrian Smith Wealth Management Limited

  7. controlled function added: (3)Responsible for Insurance Distribution at Adrian Smith Wealth Management Limited

  8. controlled function added: (4)SMF17 Money Laundering Reporting Officer (MLRO) at Adrian Smith Wealth Management Limited

  9. controlled function added: (5)SMF16 Compliance Oversight at Adrian Smith Wealth Management Limited

  10. controlled function added: (6)SMF3 Executive Director at Adrian Smith Wealth Management Limited

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