Colin Osborne 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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 27 Mar 2024)
    • [FCA CF] Client dealing (since 27 Mar 2024)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 2 Apr 2024)
    • CF1 Director (AR) (17 Jun 2014 to 2 Apr 2024)
    • CF30 Customer (1 Nov 2007 to 2 Apr 2024)
    • CF22 Investment Adviser (Trainee) (23 Aug 2007 to 31 Oct 2007)
    • CF4 Partner (AR) (23 Aug 2007 to 17 Jun 2014)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (17 Jun 2014 to 2 Apr 2024)
    • CF4 Partner (AR) (23 Aug 2007 to 17 Jun 2014)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (11 Dec 2003 to 31 Oct 2004)
    • CF4 Partner (AR) (8 Apr 2003 to 31 Oct 2004)
    • CF22 Investment Adviser (Trainee) (8 Apr 2003 to 11 Dec 2003)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (11 Dec 2003 to 2 Sep 2007)
    • CF4 Partner (AR) (8 Apr 2003 to 2 Sep 2007)
    • CF22 Investment Adviser (Trainee) (8 Apr 2003 to 11 Dec 2003)
  • Face 2 Face (Scotland) Ltd (no longer approved here)

    FRN 223930

    • Employed By (8 Apr 2003 to 2 Apr 2024)

Recent activity

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

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