David William 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.

  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Feb 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 20 Feb 2026)
    • CF30 Customer (11 Oct 2018 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (26 Jul 2012 to 3 Apr 2013)
  • Caroline Griffiths (no longer approved here)

    FRN 401793

    • Employed By (26 Jul 2012 to 3 Apr 2013)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (18 May 2009 to 31 Jul 2012)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (5 Aug 2003 to 24 Aug 2006)
    • CF22 Investment Adviser (Trainee) (16 Jul 2003 to 5 Aug 2003)

Recent activity

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

No changes recorded yet.