James Michael 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.

  • Foster Denovo Limited

    FRN 462728

    • 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)
    • 11. Pension transfer specialist
    • [FCA CF] Functions requiring qualifications (since 1 Mar 2020)
    • [FCA CF] Client dealing (since 1 Mar 2020)
    • CF30 Customer (15 Jul 2016 to 8 Dec 2019)
  • Hargreaves Lansdown Advisory Services Limited (no longer approved here)

    FRN 189627

    • CF30 Customer (5 Feb 2015 to 5 Feb 2016)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (17 Jan 2011 to 31 Dec 2014)

Recent activity

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

No changes recorded yet.