Lisa Johan Smith

Last updated
3 weeks ago
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Where they hold approval

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

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • CF1 Director (AR) (since 17 May 2022)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 25 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2009)
    • CF7 Sole Trader (AR) (17 May 2004 to 28 Oct 2005)
    • CF22 Investment Adviser (Trainee) (17 May 2004 to 31 Oct 2007)
  • Smith Eliot Financial Management Ltd

    FRN 439711

    • (2)Employed By (since 25 Oct 2018)
    • (9)Employed By (10 Aug 2012 to 27 Aug 2013)
  • Lisa Radford (no longer approved here)

    FRN 400609

    • (1)Employed By (17 May 2004 to 8 Dec 2009)

Recent activity

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

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