Alexander Michael 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.

  • Stifel Nicolaus Europe Limited

    FRN 190412

    • [FCA CF] Client dealing (since 8 Feb 2023)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • [FCA CF] Manager of certification employee (22 Feb 2018 to 12 Feb 2020)
    • [FCA CF] Material risk taker (22 Feb 2018 to 12 Feb 2020)
    • [FCA CF] Significant management (22 Feb 2018 to 12 Feb 2020)
    • [PRA CF] Significant risk taker or Material risk taker (22 Feb 2018 to 12 Feb 2020)
    • [FCA CF] Client dealing (22 Feb 2018 to 12 Feb 2020)
  • Banco Santander, S.A. (no longer approved here)

    FRN 136261

    • [FCA CF] Manager of certification employee (4 May 2017 to 12 Feb 2020)
    • [FCA CF] Significant management (4 May 2017 to 12 Feb 2020)
    • [FCA CF] Client dealing (4 May 2017 to 12 Feb 2020)
  • Santander Financial Services plc (no longer approved here)

    FRN 146003

    • [FCA CF] Client dealing (4 May 2017 to 12 Feb 2019)
    • [FCA CF] Manager of certification employee (4 May 2017 to 12 Feb 2019)
    • [FCA CF] Significant management (4 May 2017 to 12 Feb 2019)

Recent activity

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

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