Andrew John Smith

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • AFH Independent Financial Services Limited

    FRN 216704

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (6 Feb 2014 to 8 Dec 2019)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF1 Director (AR) (2 Apr 2012 to 31 Jan 2014)
    • CF30 Customer (2 Apr 2012 to 31 Jan 2014)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (2 Nov 2009 to 17 Apr 2012)
    • CF1 Director (AR) (2 Nov 2009 to 17 Apr 2012)

Recent activity

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

No changes recorded yet.