Gareth Rees 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.

  • AFH Independent Financial Services Limited

    FRN 216704

    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (14 Jun 2018 to 8 Dec 2019)
  • JPM Insurance Advisers Limited (no longer approved here)

    FRN 445837

    • CF30 Customer (10 Mar 2014 to 30 Nov 2017)
  • Origen Financial Services Limited (no longer approved here)

    FRN 192666

    • CF30 Customer (1 Jun 2009 to 11 Mar 2013)
  • KPMG LLP (no longer approved here)

    FRN 210513

    • CF30 Customer (1 Nov 2007 to 16 Oct 2008)
    • CF21 Investment Adviser (30 Apr 2002 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.