Mark Lionel Smitheram

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.

  • SALTUS WEALTH PARTNERSHIP LIMITED

    FRN 449607

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (24 Oct 2016 to 8 Dec 2019)
  • The Tavistock Partnership Limited (no longer approved here)

    FRN 519014

    • CF30 Customer (9 Apr 2013 to 17 Mar 2017)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 11 Nov 2012)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 26 Oct 2002)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF21 Investment Adviser (1 Dec 2001 to 17 Jul 2002)
  • Scottish Widows Administration Services Limited (no longer approved here)

    FRN 139398

    • CF21 Investment Adviser (1 Dec 2001 to 26 Oct 2002)

Recent activity

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

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