Brett Owen 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.

  • ASCOT LLOYD FINANCIAL PLANNING LIMITED

    FRN 144519

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 2 Nov 2023)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Broadstone Corporate Benefits Limited (no longer approved here)

    FRN 587699

    • CF30 Customer (6 Jan 2014 to 30 Nov 2017)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF30 Customer (1 Nov 2007 to 22 Nov 2013)
    • CF21 Investment Adviser (21 Feb 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (19 Feb 2007 to 21 Feb 2007)

Recent activity

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

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