Kevin 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.

  • The Finance Family Limited

    FRN 813073

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 14 Sep 2021)
    • [FCA CF] Client dealing (since 1 Sep 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Aug 2021)
    • [FCA CF] Significant management (since 31 Mar 2021)
    • [FCA CF] CASS oversight function (since 31 Mar 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Sep 2018)
    • CF10 Compliance Oversight (21 Sep 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (21 Sep 2018 to 30 Sep 2018)
    • CF1 Director (3 Sep 2018 to 3 Sep 2018)
    • Responsibility for MCD Intermediation (3 Sep 2018 to 3 Sep 2018)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (25 Aug 2020 to 9 Sep 2021)
    • CF30 Customer (31 Mar 2020 to 9 Sep 2021)
    • CF1 Director (AR) (31 Mar 2020 to 9 Sep 2021)

Recent activity

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

No changes recorded yet.