Alexander 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.

  • Bank of America, N.A.

    FRN 124642

    • [FCA CF] Significant management (since 12 Feb 2026)
    • [FCA CF] Manager of certification employee (since 1 Sep 2023)
    • [FCA CF] Client dealing (since 1 Sep 2023)
    • [FCA CF] Material risk taker (since 1 Sep 2023)
    • [FCA CF] Significant management (27 Feb 2017 to 5 Mar 2019)
    • [FCA CF] Client dealing (7 Sep 2016 to 5 Mar 2019)
    • [FCA CF] Material risk taker (7 Mar 2016 to 5 Mar 2019)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 5 Mar 2019)
    • CF30 Customer (17 Jun 2011 to 6 Mar 2016)
  • Merrill Lynch International

    FRN 147150

    • [FCA CF] Significant management (since 12 Feb 2026)
    • [FCA CF] Client dealing (since 7 Sep 2016)
    • [FCA CF] Manager of certification employee (since 7 Mar 2016)
    • [FCA CF] Material risk taker (since 7 Mar 2016)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF21 Investment Adviser (1 Dec 2001 to 30 May 2006)

Recent activity

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

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