Daniel Smith

Last updated
6 days ago
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Where they hold approval

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

  • The Northern Trust Company

    FRN 122020

    • [FCA CF] Material risk taker (since 10 May 2022)
    • [FCA CF] Manager of certification employee (since 1 May 2020)
    • [FCA CF] Client dealing (since 7 Apr 2020)
    • [FCA CF] Proprietary trader (since 1 Mar 2020)
    • [FCA CF] Significant management (since 7 Mar 2017)
    • [FCA CF] Client dealing (7 Mar 2017 to 29 Feb 2020)
    • CF29 Significant management (11 Feb 2013 to 6 Mar 2016)
    • CF30 Customer (11 Feb 2013 to 13 Aug 2013)
    • CF27 Investment Management (12 Apr 2005 to 14 Jul 2006)
  • Northern Trust Investor Services Limited

    FRN 927658

    • [FCA CF] Material risk taker (since 10 May 2022)
    • [FCA CF] Manager of certification employee (since 25 May 2021)
    • [FCA CF] Significant management (since 25 May 2021)
    • [FCA CF] Proprietary trader (since 25 May 2021)
    • [FCA CF] Client dealing (since 25 May 2021)
  • Northern Trust Global Services SE

    FRN 829966

    • [FCA CF] Manager of certification employee (since 1 May 2020)
    • [FCA CF] Client dealing (since 7 Apr 2020)
    • [FCA CF] Significant management (since 1 Mar 2020)
    • [FCA CF] Proprietary trader (since 1 Mar 2020)
    • [FCA CF] Client dealing (1 Mar 2019 to 29 Feb 2020)
  • Northern Trust Global Investments Limited (no longer approved here)

    FRN 191916

    • CF30 Customer (1 Nov 2007 to 19 Dec 2012)
    • CF27 Investment Management (12 Apr 2005 to 31 Oct 2007)

Recent activity

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

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