Nicholas John Smith

• AFH Independent Financial Services Limited (no longer approved here)

  FRN 216704

  • [FCA CF] Client dealing (10 Dec 2021 to 28 Feb 2023)
  • [FCA CF] Functions requiring qualifications (10 Dec 2021 to 28 Feb 2023)
• WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

  FRN 134753

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2021)
  • CF30 Customer (23 Nov 2018 to 8 Dec 2019)
• Evelyn Partners Financial Planning Limited (no longer approved here)

  FRN 136414

  • CF30 Customer (11 Dec 2013 to 13 Nov 2018)
• HSBC Bank Plc (no longer approved here)

  FRN 114216

  • CF30 Customer (3 Oct 2008 to 30 Sep 2012)
• Bank of Scotland plc (no longer approved here)

  FRN 169628

  • CF30 Customer (1 Nov 2007 to 18 Sep 2008)
  • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
• Lloyds Bank PLC (no longer approved here)

  FRN 119278

  • CF21 Investment Adviser (16 Feb 2005 to 18 Aug 2006)
• Scottish Widows Unit Trust Managers Limited (no longer approved here)

  FRN 122129

  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 17 Jul 2002)

No changes recorded yet.