James Richard Wood-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.

  • HAWKSMOOR INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 472929

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Aug 2022)
    • CF1 Director (13 May 2014 to 16 Dec 2016)
    • CF30 Customer (5 Feb 2014 to 8 Dec 2019)
  • BARCLAYS INVESTMENT SOLUTIONS LIMITED (no longer approved here)

    FRN 155595

    • CF21 Investment Adviser (1 Dec 2001 to 15 Jul 2004)

Recent activity

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

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