Michael Arthur Smith

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.

  • MIKE SMITH IFA LTD.

    FRN 610634

    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 31 Oct 2016)
    • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
    • CF1 Director (2 Jan 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jan 2014 to 30 Sep 2018)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF1 Director (AR) (26 Jul 2012 to 31 Dec 2013)
    • CF30 Customer (29 Mar 2012 to 31 Dec 2013)
  • Simon Thomsett Independent Financial Planning Advisers (no longer approved here)

    FRN 401947

    • (5)Employed By (29 Mar 2012 to 8 Dec 2019)

Recent activity

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

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