Jonathan Marc Davidson Smith

Last updated
6 days ago
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Where they hold approval

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

  • Smith and Wardle Financial Consultants LLP

    FRN 912090

    • 21. Advising or arranging (bringing about) equity release transactions
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 7 Aug 2020)
    • Responsibility for MCD Intermediation (since 7 Aug 2020)
    • SMF27 Partner (since 7 Aug 2020)
    • [FCA CF] Client dealing (since 7 Aug 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (7 Aug 2020 to 31 Dec 2025)
  • Sterling & Law Group Plc (no longer approved here)

    FRN 216784

    • CF30 Customer (20 Jun 2011 to 8 Dec 2019)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (1 Dec 2001 to 1 Oct 2003)

Recent activity

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

No changes recorded yet.