Joseph David 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.

  • RBC Europe Limited

    FRN 124543

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Manager of certification employee (since 4 Nov 2024)
    • [FCA CF] Client dealing (since 4 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2024)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • [FCA CF] Manager of certification employee (20 May 2020 to 20 Oct 2023)
    • [FCA CF] Functions requiring qualifications (4 Sep 2018 to 25 Jun 2020)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (17 Feb 2016 to 6 Mar 2016)

Recent activity

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

No changes recorded yet.