Anthony Stuart Simpson 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.

  • Strathayr Financial Services LLP

    FRN 400531

    • 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 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF10 Compliance Oversight (12 Aug 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (30 Jun 2015 to 30 Sep 2018)
    • CF4 Partner (27 Jun 2012 to 8 Dec 2019)
    • CF30 Customer (27 Jun 2012 to 8 Dec 2019)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 28 Jun 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Ayrshire Financial Services Ltd (no longer approved here)

    FRN 192967

    • Employed By (8 Aug 2001 to 28 Jun 2012)

Recent activity

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

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