James Smith

Last updated
3 weeks ago
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Where they hold approval

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

  • Brooks Macdonald Asset Management Limited

    FRN 184918

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Client dealing (since 15 Nov 2021)
    • [FCA CF] Functions requiring qualifications (since 21 Jul 2021)
  • EFG Private Bank Limited (no longer approved here)

    FRN 144036

    • [FCA CF] Functions requiring qualifications (3 Nov 2016 to 26 Dec 2020)
    • [FCA CF] Client dealing (7 Mar 2016 to 26 Dec 2020)
    • CF30 Customer (27 Jan 2016 to 6 Mar 2016)

Recent activity

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

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