Lee Stafford 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.

  • Greenhill Wealth Management Limited

    FRN 624574

    • 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 3 Dec 2020)
    • [FCA CF] Client dealing (since 3 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (1 Oct 2014 to 8 Dec 2019)
    • CF1 Director (1 Oct 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2014 to 8 Dec 2019)
    • CF30 Customer (1 Oct 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Oct 2014 to 30 Sep 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (29 Sep 2011 to 29 Sep 2014)
    • CF30 Customer (29 Sep 2011 to 29 Sep 2014)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (28 Jun 2010 to 14 Sep 2011)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (15 Mar 2010 to 23 Jun 2010)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 14 Mar 2010)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

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