Fiona 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.

  • Pi Financial Ltd

    FRN 186419

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (9 Dec 2019 to 9 Dec 2019)
    • CF30 Customer (31 Jan 2009 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (1 Nov 2007 to 19 Jan 2009)
    • CF21 Investment Adviser (5 Oct 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (2 Feb 2007 to 5 Oct 2007)
  • Options & Choices Financial Services Ltd (no longer approved here)

    FRN 224877

    • Employed By (2 Feb 2007 to 19 Jan 2009)

Recent activity

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

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