Martin Howard 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.

  • Martin Smith Independent Financial Adviser Ltd

    FRN 944677

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 11 Feb 2026)
    • [FCA CF] Significant management (since 24 Jun 2021)
    • Responsible for Insurance Distribution (since 24 Jun 2021)
    • [FCA CF] Manager of certification employee (since 24 Jun 2021)
    • [FCA CF] Material risk taker (since 24 Jun 2021)
    • SMF3 Executive Director (since 24 Jun 2021)
    • [FCA CF] Client dealing (since 24 Jun 2021)
    • [FCA CF] Functions requiring qualifications (since 24 Jun 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (10 Feb 2021 to 8 Mar 2021)
    • SMF16 Compliance Oversight (10 Feb 2021 to 8 Mar 2021)

Recent activity

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

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