Ronald Allan Smith

Watch for changes

Where they hold approval

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

Fairstone Financial Management Limited (no longer approved here)
FRN 475973
- CF30 Customer (31 May 2013 to 10 Dec 2013)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (4 Nov 2008 to 28 Aug 2012)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF30 Customer (1 Nov 2007 to 7 Oct 2008)
- CF22 Investment Adviser (Trainee) (15 Oct 2007 to 31 Oct 2007)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF22 Investment Adviser (Trainee) (12 Apr 2007 to 18 Sep 2007)
Friends Provident Pension Solutions Direct Limited (no longer approved here)
FRN 201586
- (13)Employed By (1 Dec 2001 to 18 Jul 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.