David Ian Smith

Last updated
3 weeks ago
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Where they hold approval

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

  • PRAGMA WEALTH MANAGEMENT LTD.

    FRN 197316

    • SMF9 Chair of the Governing Body (since 6 Jan 2025)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (18 Apr 2018 to 8 Dec 2019)
    • CF30 Customer (16 Apr 2018 to 8 Dec 2019)
  • GAM London Limited (no longer approved here)

    FRN 122330

    • CF30 Customer (1 Nov 2007 to 14 Nov 2016)
    • CF1 Director (1 Dec 2001 to 30 Aug 2012)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • GAM INTERNATIONAL MANAGEMENT LIMITED (no longer approved here)

    FRN 122331

    • CF30 Customer (1 Nov 2007 to 14 Nov 2016)
    • CF27 Investment Management (22 Feb 2006 to 31 Oct 2007)
    • CF1 Director (20 May 2003 to 14 Nov 2016)

Recent activity

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

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