Andrew Joseph SMITH

Last updated
2 weeks ago
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Where they hold approval

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

  • NUCLEUS FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 456117

    • [FCA CF] Significant management (22 Nov 2022 to 18 Dec 2023)
    • SMF18 Other Overall Responsibility (13 Aug 2021 to 22 Nov 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Jul 2021)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Jul 2021)
    • CF29 Significant management (23 Sep 2015 to 8 Dec 2019)
    • CF28 Systems and controls (7 Jul 2011 to 31 Aug 2012)
  • The IPS Partnership Limited (no longer approved here)

    FRN 115135

    • [FCA CF] Manager of certification employee (4 Jul 2022 to 22 Nov 2022)
    • [FCA CF] Significant management (18 Oct 2021 to 18 Dec 2023)
  • James Hay WRAP Managers Limited (no longer approved here)

    FRN 225574

    • [FCA CF] Manager of certification employee (4 Jul 2022 to 22 Nov 2022)
    • [FCA CF] Material risk taker (1 Jan 2022 to 22 Nov 2022)
    • [FCA CF] Significant management (18 Oct 2021 to 18 Dec 2023)
  • JAMES HAY ADMINISTRATION COMPANY LIMITED (no longer approved here)

    FRN 460698

    • [FCA CF] Manager of certification employee (4 Jul 2022 to 22 Nov 2022)
    • [FCA CF] Significant management (18 Oct 2021 to 18 Dec 2023)
  • IPS Pensions Limited (no longer approved here)

    FRN 461720

    • [FCA CF] Manager of certification employee (4 Jul 2022 to 22 Nov 2022)
    • [FCA CF] Significant management (18 Oct 2021 to 18 Dec 2023)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF29 Significant management (10 Apr 2014 to 16 Dec 2014)
    • CF10a CASS Oversight function (31 Jul 2013 to 16 Dec 2014)
    • CF1 Director (27 Sep 2012 to 1 Apr 2014)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF29 Significant management (10 Apr 2014 to 16 Dec 2014)
    • CF10a CASS Oversight function (31 Jul 2013 to 16 Dec 2014)
    • CF1 Director (27 Sep 2012 to 1 Apr 2014)

Recent activity

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

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