Kevin Peter 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.

  • Great British Finance Limited

    FRN 431032

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • SMF16 Compliance Oversight (9 Dec 2019 to 2 Jun 2025)
    • CF10 Compliance Oversight (23 Apr 2019 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (19 May 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (19 May 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (19 May 2005 to 31 Mar 2009)
    • CF1 Director (19 May 2005 to 8 Dec 2019)
  • BRIAN MOLE INDEPENDENT FINANCIAL ADVISERS LTD. (no longer approved here)

    FRN 211978

    • CF10 Compliance Oversight (1 Nov 2003 to 22 Mar 2005)
    • CF1 Director (22 May 2003 to 22 Mar 2005)
    • CF21 Investment Adviser (18 Sep 2002 to 22 Mar 2005)

Recent activity

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

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