Gordon Alexander Smith

Watch for changes

Where they hold approval

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

WREN STERLING FINANCIAL PLANNING LIMITED
FRN 665653
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 1 Jun 2023)
- [FCA CF] Functions requiring qualifications (since 1 Jun 2023)
TenetConnect Limited (no longer approved here)
FRN 149826
- CF30 Customer (21 Feb 2008 to 19 Feb 2009)
HORIZON FINANCIAL MANAGEMENT LTD (no longer approved here)
FRN 424740
- (6)Employed By (21 Feb 2008 to 19 Feb 2009)

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

23 hours ago
controlled function removed: Employed By at HORIZON FINANCIAL MANAGEMENT LTD
23 hours ago
controlled function added: (6)Employed By at HORIZON FINANCIAL MANAGEMENT LTD

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.