Matt 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.

  • J.P. Morgan Securities plc

    FRN 155240

    • [FCA CF] Manager of certification employee (since 5 Dec 2024)
    • [FCA CF] Material risk taker (since 12 Nov 2019)
    • [FCA CF] Client dealing (since 28 Oct 2019)
  • J.P. Morgan Markets Limited

    FRN 114031

    • [FCA CF] Client dealing (since 28 Feb 2024)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • [FCA CF] Client dealing (7 Sep 2016 to 14 Oct 2019)
    • [FCA CF] Manager of certification employee (7 Sep 2016 to 14 Oct 2019)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (12 May 2005 to 31 Oct 2007)
  • Morgan Stanley Bank International Limited (no longer approved here)

    FRN 195430

    • [FCA CF] Manager of certification employee (7 Sep 2016 to 14 Oct 2019)
    • [FCA CF] Client dealing (7 Sep 2016 to 14 Oct 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (30 Nov 2002 to 7 Jul 2003)

Recent activity

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

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