Roger Lee Smith

Watch for changes

Where they hold approval

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

Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF30 Customer (27 Feb 2014 to 6 Mar 2016)
Bank of Scotland plc (no longer approved here)
FRN 169628
- CF30 Customer (27 Feb 2014 to 6 Mar 2016)
BGC Brokers L.P (no longer approved here)
FRN 454814
- CF30 Customer (7 Dec 2010 to 6 Nov 2012)
Kyte Broking Limited (no longer approved here)
FRN 174863
- CF30 Customer (13 Jul 2010 to 30 Nov 2010)
Cantor Fitzgerald Europe (no longer approved here)
FRN 149380
- CF30 Customer (1 Nov 2007 to 31 Mar 2009)
- CF21 Investment Adviser (23 May 2005 to 31 Oct 2007)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF21 Investment Adviser (1 May 2003 to 20 Sep 2004)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF21 Investment Adviser (1 May 2003 to 20 Sep 2004)
Bank of America, N.A. (no longer approved here)
FRN 124642
- CF26 Customer Trading (1 Dec 2001 to 25 Oct 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.