Martin Stephen 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.

  • WESLEYAN FINANCIAL SERVICES LIMITED

    FRN 134753

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 23 Dec 2019)
    • [FCA CF] Client dealing (since 23 Dec 2019)
    • CF30 Customer (29 Aug 2012 to 6 Mar 2018)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (10 Jan 2011 to 30 Jun 2012)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (15 Jun 2005 to 13 Mar 2007)

Recent activity

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

No changes recorded yet.