Brian James Smith

Last updated
3 weeks ago
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Where they hold approval

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

  • The Bank of Nova Scotia (no longer approved here)

    FRN 141308

    • [FCA CF] Client dealing (6 Mar 2017 to 31 Oct 2018)
    • [FCA CF] Manager of certification employee (6 Mar 2017 to 31 Oct 2018)
    • [FCA CF] Material risk taker (6 Mar 2017 to 31 Oct 2018)
    • CF30 Customer (11 Oct 2012 to 6 Mar 2016)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF21 Investment Adviser (1 Dec 2001 to 14 Apr 2003)

Recent activity

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

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