James Smith

• Openwork Limited

  FRN 408285

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • CF1 Director (AR) (since 1 Oct 2009)
  • CF30 Customer (since 1 Nov 2007)
  • CF7 Sole Trader (AR) (1 Jun 2005 to 3 Dec 2006)
  • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
• Advanced Financial Planning Scotland Limited

  FRN 460050

  • (2)Employed By (since 6 Dec 2006)
• Advanced Investment & Retirement Planning (Scotland) Ltd (no longer approved here)

  FRN 936681

  • SMF3 Executive Director (21 Apr 2021 to 20 Sep 2021)
• 2 Plan Wealth Management Limited (no longer approved here)

  FRN 461598

  • CF1 Director (AR) (6 Mar 2012 to 30 Apr 2021)
• The Jim Smith Financial Practice (no longer approved here)

  FRN 211390

  • Employed By (1 Dec 2001 to 6 Dec 2006)

No changes recorded yet.