Neil Geoffrey Smith

Last updated
1 week ago
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Where they hold approval

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

  • Harmony Wealth Management Limited

    FRN 713818

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [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)
    • CF11 Money Laundering Reporting (11 Jan 2016 to 8 Dec 2019)
    • CF1 Director (11 Jan 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Jan 2016 to 8 Dec 2019)
    • CF30 Customer (11 Jan 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Jan 2016 to 30 Sep 2018)
  • Charles James Financial Planning Limited (no longer approved here)

    FRN 135205

    • CF1 Director (AR) (15 Oct 2009 to 11 Jan 2016)
    • CF30 Customer (15 Oct 2009 to 11 Jan 2016)
  • Harmony Wealth Management Ltd (no longer approved here)

    FRN 509643

    • Employed By (15 Oct 2009 to 11 Jan 2016)

Recent activity

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

No changes recorded yet.