Robert Brooke Smith

Last updated
2 weeks ago
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Where they hold approval

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

  • True Potential Wealth Management LLP

    FRN 529810

    • 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 8 Nov 2022)
    • [FCA CF] Client dealing (since 8 Nov 2022)
  • Sandringham Financial Partners Limited (no longer approved here)

    FRN 581304

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 15 Nov 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 15 Nov 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Nov 2022)
    • CF1 Director (AR) (20 Sep 2017 to 15 Nov 2022)
    • CF30 Customer (19 Nov 2015 to 15 Nov 2022)
  • Brooke Smith Financial Services Limited (no longer approved here)

    FRN 786367

    • Employed By (10 Aug 2017 to 15 Nov 2022)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (1 Nov 2007 to 21 Feb 2011)
    • CF21 Investment Adviser (25 Jan 2006 to 31 Oct 2007)
    • CF1 Director (AR) (25 Jan 2006 to 21 Feb 2011)
  • 4 Life Financial Services Ltd (no longer approved here)

    FRN 446573

    • Employed By (25 Jan 2006 to 29 Jan 2016)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 13 Jan 2006)

Recent activity

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

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