Lindsay Smith

Last updated
6 days ago
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Where they hold approval

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

  • Caplan & Caplan Financial Services Limited

    FRN 949393

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 7 Apr 2026)
  • First Complete Limited

    FRN 435779

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Appointed representative dealing with clients for which they require qualification (since 2 Jan 2025)
  • HL Partnership Limited (no longer approved here)

    FRN 303397

    • Appointed representative dealing with clients for which they require qualification (27 Jul 2021 to 31 Dec 2024)
  • Countrywide Principal Services Limited (no longer approved here)

    FRN 301684

    • [FCA CF] Functions requiring qualifications (31 Mar 2020 to 2 Jul 2021)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF22 Investment Adviser (Trainee) (12 Feb 2002 to 26 May 2003)

Recent activity

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

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