Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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SMITH ASSOCIATES FINANCIAL SERVICES LTD
FRN 715058
- 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] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (5 Jan 2016 to 8 Dec 2019)
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- (10)Employed By (8 Jan 2015 to 13 Oct 2015)
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- CF30 Customer (16 May 2013 to 13 Oct 2015)
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- CF30 Customer (13 Mar 2009 to 11 Nov 2012)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.