Jeffrey Roger 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.

  • QUILTER FINANCIAL SERVICES LIMITED

    FRN 440703

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • CF30 Customer (since 20 Mar 2020)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (12 Jan 2011 to 1 Apr 2012)
  • Quilter Financial Advisers Ltd

    FRN 452529

    • (357)Employed By (since 20 Mar 2020)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (2 Apr 2012 to 9 Mar 2023)
  • Charles Derby Wealth Management Limited (no longer approved here)

    FRN 535816

    • Employed By (12 Jan 2011 to 17 Aug 2022)
  • Bracebridge Investment Advisers Ltd (no longer approved here)

    FRN 457528

    • Employed By (20 May 2008 to 2 Sep 2008)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 2 Jun 2008)
    • CF21 Investment Adviser (3 Feb 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2005 to 3 Feb 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 18 Nov 2005)

Recent activity

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

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