Mark James Smith

Watch for changes

Where they hold approval

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

QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- CF30 Customer (30 Jul 2019 to 27 Feb 2020)
Acorn to Oaks Financial Services Ltd (no longer approved here)
FRN 486131
- CF30 Customer (12 Oct 2015 to 24 Jul 2019)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (9 Oct 2013 to 1 Oct 2015)
TenetConnect Limited (no longer approved here)
FRN 149826
- CF30 Customer (15 Apr 2008 to 1 Dec 2009)
BBT Group Ltd (no longer approved here)
FRN 189722
- Employed By (15 Apr 2008 to 1 Dec 2009)
Clydesdale Bank Plc (no longer approved here)
FRN 121873
- CF30 Customer (1 Nov 2007 to 7 Jan 2008)
- CF22 Investment Adviser (Trainee) (12 Dec 2006 to 31 Oct 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.