Alexander David 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.

  • Corbel Partners Limited

    FRN 429142

    • 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
    • [FCA CF] Client dealing (since 28 Jun 2024)
    • [FCA CF] Functions requiring qualifications (since 28 Jun 2024)
  • WATSON MOORE INDEPENDENT FINANCIAL ADVISERS LIMITED (no longer approved here)

    FRN 433008

    • CF1 Director (AR) (13 Jan 2022 to 9 Nov 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 10 Jun 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Jun 2024)
    • CF30 Customer (5 Jun 2017 to 8 Dec 2019)
  • Chiswick Wealth Management Limited (no longer approved here)

    FRN 967338

    • Employed By (13 Jan 2022 to 15 Nov 2022)

Recent activity

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

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