David Ronald Smith

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • HFS Milbourne Financial Services Limited

    FRN 125051

    • [FCA CF] Manager of certification employee (since 17 Oct 2023)
  • HW Financial Services Limited

    FRN 134190

    • 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] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Evelyn Partners Financial Planning Limited

    FRN 136414

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (30 Aug 2016 to 8 Dec 2019)
  • HOWDEN FS LIMITED (no longer approved here)

    FRN 180563

    • [FCA CF] Manager of certification employee (17 Oct 2023 to 1 Apr 2026)
  • Evelyn Partners Securities (no longer approved here)

    FRN 124255

    • [FCA CF] Manager of certification employee (1 Apr 2021 to 14 Oct 2024)
  • TILNEY DISCRETIONARY PORTFOLIO MANAGEMENT LIMITED (no longer approved here)

    FRN 142989

    • [FCA CF] Manager of certification employee (1 Apr 2021 to 14 Oct 2024)
  • Evelyn Partners Discretionary Investment Management Limited (no longer approved here)

    FRN 147103

    • [FCA CF] Manager of certification employee (1 Apr 2021 to 14 Oct 2024)
  • Evelyn Partners Investment Management Services Limited (no longer approved here)

    FRN 165169

    • [FCA CF] Manager of certification employee (1 Apr 2021 to 14 Oct 2024)
  • Evelyn Partners Asset Management Limited (no longer approved here)

    FRN 223074

    • [FCA CF] Manager of certification employee (1 Apr 2021 to 14 Oct 2024)

Recent activity

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

No changes recorded yet.