Phillip Martyn Smith

Last updated
3 weeks ago
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Where they hold approval

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

  • Origen Financial Services Limited

    FRN 192666

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 1 Feb 2024)
    • [FCA CF] Functions requiring qualifications (since 1 Feb 2024)
    • [FCA CF] Client dealing (since 1 Feb 2024)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • [FCA CF] Manager of certification employee (9 Feb 2017 to 31 Jan 2024)
    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 29 Jan 2017)
    • CF30 Customer (15 Mar 2013 to 6 Mar 2016)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 8 May 2012)
    • CF21 Investment Adviser (22 Feb 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (11 Apr 2006 to 22 Feb 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (7 Apr 2004 to 7 Apr 2006)
    • CF22 Investment Adviser (Trainee) (10 Jun 2003 to 7 Apr 2004)

Recent activity

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

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