Kevin 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.

  • Barker Sutcliffe and Associates Ltd

    FRN 502830

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 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
    • Responsible for Insurance Distribution (since 11 Oct 2024)
    • SMF16 Compliance Oversight (since 14 Aug 2024)
    • [FCA CF] Functions requiring qualifications (since 19 May 2020)
    • [FCA CF] Client dealing (since 19 May 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (AR) (since 25 Jun 2019)
    • CF30 Customer (since 25 Jun 2013)
    • CF1 Director (7 Dec 2016 to 8 Dec 2019)
  • Wakefield Financial Services Limited (no longer approved here)

    FRN 520967

    • Employed By (25 Jun 2019 to 27 Aug 2024)
  • BA (GI) Limited (no longer approved here)

    FRN 117647

    • CF22 Investment Adviser (Trainee) (28 Jan 2002 to 1 Aug 2002)

Recent activity

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

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