Alexander Smith

Watch for changes

Where they hold approval

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

Deutsche Bank AG
FRN 150018
- [FCA CF] Client dealing (since 7 Nov 2025)
Numis Securities Limited
FRN 144822
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Material risk taker (since 9 Dec 2019)
- CF30 Customer (28 Nov 2016 to 8 Dec 2019)
Stifel Nicolaus Europe Limited (no longer approved here)
FRN 190412
- CF30 Customer (3 Feb 2015 to 26 Sep 2016)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.