Graham Hamilton Smith

Watch for changes

Where they hold approval

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

ADVANCED ASSET CONSULTANTS LIMITED (no longer approved here)
FRN 506551
- [FCA CF] Client dealing (9 Dec 2019 to 21 Apr 2020)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Apr 2020)
- CF30 Customer (18 Dec 2009 to 8 Dec 2019)
TenetConnect Services Limited (no longer approved here)
FRN 150643
- CF30 Customer (1 Nov 2007 to 23 Dec 2009)
- CF21 Investment Adviser (18 Nov 2003 to 31 Oct 2007)
Advanced Asset Management Ltd (no longer approved here)
FRN 221321
- Employed By (18 Nov 2003 to 23 Dec 2009)
One Financial Planning Ltd (no longer approved here)
FRN 191206
- (32)Employed By (8 Dec 1999 to 3 Oct 2003)

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

14 hours ago
controlled function added: (32)Employed By at One Financial Planning 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.