Cathy Lisa Smith

Last updated
1 week ago
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Where they hold approval

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

  • Belmayne Independent Financial Services LLP

    FRN 409714

    • 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] Functions requiring qualifications (since 4 Jan 2021)
    • [FCA CF] Client dealing (since 4 Jan 2021)
  • Jones & Co Advisers Limited (no longer approved here)

    FRN 804499

    • CF30 Customer (10 Jul 2018 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (15 Oct 2012 to 25 Oct 2013)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 31 Jul 2012)
    • CF22 Investment Adviser (Trainee) (18 May 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 23 Sep 2003)

Recent activity

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

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