David 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.

  • Succession Financial Management Limited

    FRN 225831

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 2 Oct 2023)
    • [FCA CF] Client dealing (since 2 Oct 2023)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 1 Oct 2023)
    • [FCA CF] Client dealing (1 Jan 2021 to 1 Oct 2023)
  • Fairstone Financial Management Limited (no longer approved here)

    FRN 475973

    • CF30 Customer (14 May 2014 to 4 Jan 2015)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (30 Aug 2012 to 22 Apr 2014)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 31 Jul 2012)
    • CF22 Investment Adviser (Trainee) (10 Feb 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.