Edward Frank 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.

  • Rathbones Investment Management Limited

    FRN 116316

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Significant management (since 1 Jul 2024)
    • [FCA CF] Manager of certification employee (since 11 May 2023)
    • [FCA CF] Client dealing (since 1 Mar 2023)
    • [PRA CF] Significant risk taker or Material risk taker (since 1 Dec 2021)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • CF30 Customer (20 Nov 2014 to 6 Mar 2016)
  • RATHBONES ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 144266

    • CF30 Customer (17 Nov 2014 to 31 Mar 2017)
  • Canaccord Genuity Limited (no longer approved here)

    FRN 182011

    • CF30 Customer (17 Dec 2012 to 10 Jul 2013)
  • Canaccord Genuity Wealth Limited (no longer approved here)

    FRN 194927

    • CF30 Customer (17 Dec 2012 to 12 Sep 2014)

Recent activity

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

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