Deborah Elizabeth Smith

Last updated
6 days ago
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Where they hold approval

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

  • BBT Group Limited

    FRN 922221

    • 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] Functions requiring qualifications (since 12 Jun 2024)
    • [FCA CF] Client dealing (since 12 Jun 2024)
    • [FCA CF] Manager of certification employee (since 4 Dec 2023)
  • Horbury Financial Services Limited (no longer approved here)

    FRN 225007

    • CF10 Compliance Oversight (1 Mar 2010 to 7 Jun 2012)
    • CF30 Customer (2 Jul 2008 to 4 Apr 2016)
    • CF21 Investment Adviser (9 Jan 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (21 Apr 2006 to 9 Jan 2007)

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

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