Kevin John Smith

Last updated
1 week ago
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Where they hold approval

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

  • GilesSmith Wealth Management LLP

    FRN 709493

    • 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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 1 Sep 2016)
    • CF30 Customer (6 Jan 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (6 Jan 2016 to 30 Sep 2018)
    • CF4 Partner (6 Jan 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Jan 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Jan 2016 to 8 Dec 2019)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Apr 2011 to 31 Dec 2012)
  • Independent Financial Services (UK) Ltd (no longer approved here)

    FRN 206445

    • (91)Employed By (6 Apr 2006 to 8 Dec 2019)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF21 Investment Adviser (24 May 2002 to 7 Apr 2006)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 24 May 2002)

Recent activity

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

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