Barbara Marie Smith-Galer

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.

  • Argentis Wealth Management Ltd

    FRN 419331

    • 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 15 Mar 2022)
    • [FCA CF] Functions requiring qualifications (since 15 Mar 2022)
  • Argentis Financial Planning Ltd

    FRN 624277

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 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] Functions requiring qualifications (since 20 Sep 2021)
    • [FCA CF] Client dealing (since 20 Sep 2021)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • [FCA CF] Manager of certification employee (22 Nov 2019 to 4 Nov 2020)
    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 25 Aug 2017)
    • CF30 Customer (4 Oct 2011 to 26 Jun 2013)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (3 Feb 2009 to 2 Aug 2011)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (8 Jan 2008 to 23 Jan 2009)

Recent activity

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

No changes recorded yet.