Philip Graham Smith

Watch for changes

Where they hold approval

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

WINTERFLOOD SECURITIES LIMITED
FRN 141455
- [FCA CF] Client dealing (since 3 Nov 2022)
- [FCA CF] Manager of certification employee (since 3 Nov 2022)
Numis Securities Limited (no longer approved here)
FRN 144822
- [FCA CF] Client dealing (9 Dec 2019 to 29 Aug 2022)
- CF30 Customer (5 Jul 2018 to 8 Dec 2019)
MUFG Corporate Markets Trustees (UK) Limited (no longer approved here)
FRN 184113
- CF30 Customer (5 Jun 2017 to 2 Jul 2018)
Equiniti Financial Services Limited (no longer approved here)
FRN 468631
- CF30 Customer (23 Jan 2013 to 31 May 2014)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.