Graeme Thomas 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.

  • Azets Wealth Management Limited

    FRN 449016

    • 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] Client dealing (since 1 Oct 2024)
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2024)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • [FCA CF] Functions requiring qualifications (5 Dec 2017 to 28 Aug 2022)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • CF30 Customer (14 Dec 2016 to 31 Aug 2017)

Recent activity

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

No changes recorded yet.