Alan James Smyth

Last updated
5 days ago
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Where they hold approval

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

  • McAlpine Brown Smyth Ltd

    FRN 975085

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 3 Jan 2023)
    • [FCA CF] Functions requiring qualifications (since 3 Jan 2023)
    • [FCA CF] Client dealing (since 3 Jan 2023)
  • Kenneth Brewster

    FRN 484860

    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (6 Jun 2019 to 30 Dec 2022)
    • CF30 Customer (6 Jun 2019 to 30 Dec 2022)
  • J & E Davy (UK) Limited (no longer approved here)

    FRN 172140

    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF1 Director (1 Dec 2001 to 31 Jul 2009)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 31 Jul 2009)

Recent activity

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

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