Daniel Smith

Last updated
5 days ago
Watch for changes

Where they hold approval

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

  • SMITH & CO FINANCIAL SERVICES LTD

    FRN 993733

    • 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 1 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Nov 2023)
    • SMF3 Executive Director (since 1 Nov 2023)
    • [FCA CF] Client dealing (since 1 Nov 2023)
    • Responsible for Insurance Distribution (since 1 Nov 2023)
    • SMF16 Compliance Oversight (since 1 Nov 2023)
  • KW Wealth Planning Limited (no longer approved here)

    FRN 114694

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Nov 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 22 Nov 2022)
    • CF30 Customer (21 Feb 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.