Ian Stephen Fleetwood 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.

  • 4wealth Ltd

    FRN 526121

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 10 Nov 2020)
    • [FCA CF] Client dealing (since 10 Nov 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF1 Director (8 Oct 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Oct 2010 to 8 Dec 2019)
    • CF30 Customer (8 Oct 2010 to 8 Dec 2019)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (1 Nov 2007 to 8 Oct 2010)
    • CF21 Investment Adviser (16 Mar 2006 to 31 Oct 2007)
    • CF1 Director (AR) (31 Oct 2004 to 8 Oct 2010)
    • CF22 Investment Adviser (Trainee) (28 Oct 2004 to 16 Mar 2006)
  • 4 Wealth Ltd (no longer approved here)

    FRN 225330

    • Employed By (11 Jun 2003 to 8 Oct 2010)

Recent activity

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

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