Alan John Laidlaw Smith

Last updated
2 weeks ago
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Where they hold approval

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

  • CAPITAL ASSET MANAGEMENT (FINANCIAL PLANNING) LIMITED

    FRN 225112

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (AR) (11 Apr 2005 to 10 Jan 2010)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF24 Pension Transfer Specialist (14 Jan 2004 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (14 Jan 2004 to 31 Mar 2009)
    • CF21 Investment Adviser (14 Jan 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (14 Jan 2004 to 27 May 2016)
    • CF10 Compliance Oversight (14 Jan 2004 to 27 May 2016)
    • CF3 Chief Executive (14 Jan 2004 to 8 Dec 2019)
    • CF1 Director (14 Jan 2004 to 8 Dec 2019)
  • Century House Investment Services Ltd (no longer approved here)

    FRN 430176

    • Employed By (11 Apr 2005 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.