Alice Mary Ward-Smith

Last updated
5 days ago
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Where they hold approval

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

  • Eastern Financial Consultants Ltd

    FRN 952886

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 6 Nov 2025)
    • [FCA CF] Client dealing (since 6 Nov 2025)
  • Sophex Limited

    FRN 457902

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 23 May 2025)
    • [FCA CF] Functions requiring qualifications (since 23 May 2025)
  • ADMS Asset Management Limited

    FRN 569871

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 6 May 2025)
    • [FCA CF] Client dealing (since 6 May 2025)
  • Insight Financial Associates Limited

    FRN 458421

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 6 Sep 2021)
    • [FCA CF] Functions requiring qualifications (since 6 Sep 2021)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 28 Aug 2021)
    • CF30 Customer (16 May 2019 to 28 Aug 2021)
  • Norfolk Wealth Management Limited (no longer approved here)

    FRN 580785

    • (5)Employed By (16 May 2019 to 28 Aug 2021)
  • COMPASS INDEPENDENT FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 563812

    • CF30 Customer (27 Mar 2018 to 7 May 2019)

Recent activity

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

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