Anthony Arthur James Bannard 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.

  • Thornton Claverley Independent Financial Advisers Limited

    FRN 192112

    • (1)Employed By (since 2 Apr 2024)
  • ELEVATION WEALTH MANAGEMENT LIMITED

    FRN 456358

    • 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 7 Jan 2024)
    • [FCA CF] Significant management (since 23 Jun 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Jan 2021)
    • Responsibility for MCD Intermediation (since 4 Jan 2021)
    • SMF16 Compliance Oversight (since 4 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (since 2 Dec 2015)
    • CF30 Customer (since 21 Nov 2011)
    • [FCA CF] Manager of certification employee (23 Jun 2022 to 25 Oct 2025)
    • [FCA CF] CASS oversight function (23 Jun 2022 to 25 Oct 2025)
    • CF10 Compliance Oversight (31 Dec 2012 to 26 Jul 2019)
    • CF11 Money Laundering Reporting (31 Dec 2012 to 26 Jul 2019)
    • Responsible for Insurance Mediation (31 Dec 2012 to 30 Sep 2018)
    • CF1 Director (2 Apr 2012 to 8 Dec 2019)
  • Cambridge Investments Limited (no longer approved here)

    FRN 114762

    • CF1 Director (25 Jun 2008 to 27 Aug 2010)
  • PERSPECTIVE (SOUTH EAST) LIMITED (no longer approved here)

    FRN 178690

    • CF30 Customer (1 Nov 2007 to 29 Jul 2011)
    • Responsible for Insurance Mediation (14 Jan 2005 to 29 Jul 2011)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 29 Jul 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Aug 2002)
    • CF10 Compliance Oversight (1 Dec 2001 to 2 Apr 2008)

Recent activity

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

  1. controlled function removed: Employed By at Thornton Claverley Independent Financial Advisers Limited

  2. controlled function added: (1)Employed By at Thornton Claverley Independent Financial Advisers Limited