Bruce Antony Rowland-Smith

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • The Independent Asset Management Company

    FRN 209525

    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF4 Partner (25 Jun 2015 to 8 Dec 2019)
    • CF1 Director (AR) (9 Jul 2010 to 27 Sep 2024)
    • CF30 Customer (1 Nov 2007 to 13 Dec 2007)
    • CF21 Investment Adviser (12 Oct 2002 to 24 Oct 2003)
  • JWK Wealth Management Limited (no longer approved here)

    FRN 401670

    • (10)Employed By (3 Feb 2014 to 27 Sep 2024)
  • Affinity Investment Solutions Ltd (no longer approved here)

    FRN 526950

    • Employed By (9 Jul 2010 to 27 Sep 2024)
  • MORTGAGE INTELLIGENCE LIMITED (no longer approved here)

    FRN 305330

    • CF1 Director (AR) (17 Jun 2010 to 11 Apr 2011)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (1 Nov 2007 to 14 Apr 2008)
    • CF21 Investment Adviser (14 Jan 2005 to 31 Oct 2007)
  • Wesleyan Assurance Society (no longer approved here)

    FRN 110873

    • CF21 Investment Adviser (8 Jul 2004 to 14 Jan 2005)
    • CF22 Investment Adviser (Trainee) (19 Nov 2003 to 8 Jul 2004)
  • Wesleyan Unit Trust Managers Limited (no longer approved here)

    FRN 175798

    • CF21 Investment Adviser (8 Jul 2004 to 14 Jan 2005)
    • CF22 Investment Adviser (Trainee) (19 Nov 2003 to 8 Jul 2004)
  • Affinity Financial Management Ltd (no longer approved here)

    FRN 219596

    • Employed By (12 Oct 2002 to 10 Feb 2004)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2003)

Recent activity

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

No changes recorded yet.