Charles Harry Bowen 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.

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 2 Jul 2024)
    • CF30 Customer (since 16 Jun 2024)
  • Charlie Smith

    FRN 1014702

    • Employed By (since 16 Jun 2024)
  • R C Brown Investment Management Plc (no longer approved here)

    FRN 146002

    • [FCA CF] Client dealing (18 Dec 2023 to 7 Jun 2024)
    • [FCA CF] Functions requiring qualifications (18 Dec 2023 to 7 Jun 2024)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 May 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 23 May 2024)
    • CF30 Customer (16 Jul 2019 to 8 Dec 2019)

Recent activity

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

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