David James Lewis 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.

  • OPUS Independent Financial Planning Limited

    FRN 529492

    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 25 Mar 2021)
    • CF1 Director (AR) (since 26 Jan 2021)
    • CF30 Customer (since 12 Sep 2018)
  • DFM Financial Planning Limited

    FRN 815929

    • (2)Employed By (since 20 Sep 2018)
  • Radiant Financial Planning Limited (no longer approved here)

    FRN 192396

    • CF30 Customer (26 Jun 2018 to 13 Jul 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 9 Jun 2010)
    • CF22 Investment Adviser (Trainee) (26 Oct 2007 to 31 Oct 2007)
  • BRB Wealth Management Limited (no longer approved here)

    FRN 116358

    • CF21 Investment Adviser (2 May 2007 to 12 Oct 2007)
    • CF22 Investment Adviser (Trainee) (29 Aug 2006 to 2 May 2007)

Recent activity

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

No changes recorded yet.