David John 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.

  • HARGREAVES LANSDOWN FUND MANAGERS LTD.

    FRN 166016

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • CF30 Customer (16 Jun 2008 to 16 Apr 2012)
  • Aurum Funds Limited (no longer approved here)

    FRN 180770

    • CF21 Investment Adviser (1 Dec 2001 to 5 Aug 2003)

Recent activity

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

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