Pierre Philippe Smith

Last updated
6 days ago
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Where they hold approval

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

  • Lexden Wealth Management Limited

    FRN 945968

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2021)
    • Responsible for Insurance Distribution (since 1 Jul 2021)
    • SMF16 Compliance Oversight (since 1 Jul 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Jul 2021)
    • SMF3 Executive Director (since 1 Jul 2021)
    • [FCA CF] Client dealing (since 1 Jul 2021)
  • Morgan Law (Financial Services) Limited (no longer approved here)

    FRN 155399

    • [FCA CF] Client dealing (9 Dec 2019 to 13 Aug 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Aug 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (18 May 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Nov 2004 to 18 May 2006)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (23 Jan 2004 to 26 Aug 2004)
    • CF22 Investment Adviser (Trainee) (9 Aug 2002 to 23 Jan 2004)

Recent activity

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

No changes recorded yet.