Derek John Smith

Last updated
1 week ago
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Where they hold approval

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

  • Scottish Widows Schroder Personal Wealth Limited

    FRN 830170

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 17 Jan 2023)
    • [FCA CF] Functions requiring qualifications (since 17 Jan 2023)
  • Advanta Wealth Ltd (no longer approved here)

    FRN 605977

    • [FCA CF] Manager of certification employee (1 Jul 2021 to 18 Nov 2022)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (12 Mar 2009 to 1 Jun 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 7 Aug 2002)
  • TSB Bank plc (no longer approved here)

    FRN 191240

    • CF30 Customer (1 Nov 2007 to 12 Mar 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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