Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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McAlpine Brown Smyth Ltd
FRN 975085
- 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 6 May 2025)
- [FCA CF] Client dealing (since 6 May 2025)
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- CF30 Customer (1 Mar 2022 to 27 Sep 2023)
- [FCA CF] Functions requiring qualifications (23 Nov 2021 to 2 May 2025)
- Appointed representative dealing with clients for which they require qualification (23 Nov 2021 to 18 Sep 2023)
- [FCA CF] Client dealing (23 Nov 2021 to 2 May 2025)
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- Employed By (1 Mar 2022 to 27 Sep 2023)
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- CF30 Customer (1 Nov 2007 to 17 May 2016)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.