Peter Edwin James 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.

  • ACUITY PROFESSIONAL ADVISERS LTD

    FRN 464072

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 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)
    • CF30 Customer (17 Jun 2016 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (31 Oct 2012 to 31 Dec 2015)
  • Alexander Beard Investment Management Limited (no longer approved here)

    FRN 225566

    • CF30 Customer (1 Nov 2007 to 7 Jan 2015)
    • CF11 Money Laundering Reporting (1 Dec 2006 to 7 Jan 2015)
    • CF10 Compliance Oversight (1 Dec 2006 to 7 Jan 2015)
    • CF8 Apportionment and Oversight (1 Nov 2006 to 31 Mar 2009)
    • CF1 Director (31 Oct 2006 to 19 Mar 2015)
    • CF21 Investment Adviser (3 Oct 2005 to 31 Oct 2007)

Recent activity

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

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