Jonathan Ronald David 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.

  • Jonathan Smith & Partners

    FRN 125272

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Responsibility for MCD Intermediation (since 15 Mar 2022)
    • Responsible for Insurance Distribution (since 15 Mar 2022)
    • SMF29 Limited scope function (limited scope SMCR firms only) (since 15 Mar 2022)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Dec 2001)
    • CF10 Compliance Oversight (1 Dec 2001 to 18 Feb 2004)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Dec 2001)
    • CF21 Investment Adviser (1 Dec 2001 to 18 Feb 2004)
    • CF4 Partner (1 Dec 2001 to 1 Dec 2001)
  • Neil Harris

    FRN 544132

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Sole trader dealing with clients for which they require qualification (since 21 Apr 2021)

Recent activity

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

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