Andrew Stafford Smith

Watch for changes

Where they hold approval

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

Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- CF30 Customer (1 Nov 2007 to 2 Aug 2013)
- CF1 Director (AR) (6 Sep 2004 to 2 Aug 2013)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF4 Partner (AR) (1 Dec 2001 to 6 Sep 2004)
Falcon Financial Advice Limited (no longer approved here)
FRN 401814
- (38)Employed By (30 Sep 2004 to 17 Aug 2011)
A to Z Financial Services Limited (no longer approved here)
FRN 200676
- (4)Employed By (3 Aug 1999 to 2 Aug 2013)

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.