Gerald Walter Smart

Watch for changes

Where they hold approval

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

QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- CF30 Customer (26 Mar 2013 to 7 Oct 2020)
Quilter Financial Advisers Ltd (no longer approved here)
FRN 452529
- (154)Employed By (26 Mar 2013 to 7 Oct 2020)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF30 Customer (1 Nov 2007 to 11 Nov 2012)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 26 Oct 2002)
Scottish Widows Unit Trust Managers Limited (no longer approved here)
FRN 122129
- CF21 Investment Adviser (1 Dec 2001 to 17 Jul 2002)
Scottish Widows Administration Services Limited (no longer approved here)
FRN 139398
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 26 Oct 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.