Philip Martin Smith

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • TAP Securities Ltd

    FRN 610167

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Mar 2022)
    • SMF3 Executive Director (since 2 Mar 2022)
    • [FCA CF] Client dealing (since 7 Jan 2022)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • [FCA CF] Material risk taker (21 Dec 2018 to 10 Sep 2020)
    • [FCA CF] Client dealing (16 Aug 2018 to 10 Sep 2020)
    • [FCA CF] Manager of certification employee (16 Aug 2018 to 10 Sep 2020)
  • Moelis & Company UK LLP (no longer approved here)

    FRN 516801

    • CF30 Customer (2 Oct 2014 to 11 Jun 2018)
    • CF4 Partner (2 Oct 2014 to 11 Jun 2018)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (25 Nov 2009 to 14 Apr 2014)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 1 Dec 2004)

Recent activity

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

No changes recorded yet.