Richard Smart

Last updated
1 week ago
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Where they hold approval

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

  • Peritus Corporate Finance Limited (no longer approved here)

    FRN 659343

    • [FCA CF] Client dealing (21 Sep 2020 to 14 Jun 2021)
    • [FCA CF] Functions requiring qualifications (21 Sep 2020 to 14 Jun 2021)
    • CF30 Customer (5 Jun 2017 to 8 Dec 2019)
  • Peritus Private Finance Limited (no longer approved here)

    FRN 729282

    • CF30 Customer (5 Jun 2017 to 14 Aug 2017)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 31 Oct 2013)
    • CF21 Investment Adviser (26 Feb 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (16 Nov 2006 to 26 Feb 2007)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF21 Investment Adviser (28 Dec 2005 to 10 Nov 2006)

Recent activity

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

No changes recorded yet.