Where they hold approval

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

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 10 Sep 2012)
    • CF30 Customer (since 1 Nov 2007)
    • CF21 Investment Adviser (9 Mar 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (6 Jul 2006 to 9 Mar 2007)
    • (1)Employed By (since 8 Jan 2010)
  • Smith Eliot Financial Management Ltd (no longer approved here)

    FRN 439711

    • (10)Employed By (6 Jul 2006 to 8 Jan 2010)

Recent activity

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

No changes recorded yet.