David Raymond 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.

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 30 Jul 2021)
    • CF30 Customer (since 19 Jul 2021)
    • CF1 Director (AR) (since 19 Jul 2021)
    • CF30 Customer (20 Jul 2012 to 4 Jul 2014)
  • Smith & Associates Wealth Management Limited

    FRN 952335

    • (3)Employed By (since 19 Jul 2021)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Client dealing (9 Dec 2019 to 28 Jul 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Jul 2021)
    • CF30 Customer (3 Jul 2014 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 15 Dec 2007)
    • CF22 Investment Adviser (Trainee) (20 Jan 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.