Ross David 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.

  • Advanced Investment & Retirement Planning (Scotland) Ltd

    FRN 936681

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 21 Apr 2021)
    • [FCA CF] Client dealing (since 21 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 21 Apr 2021)
    • Responsible for Insurance Distribution (21 Apr 2021 to 10 Apr 2026)
    • Responsibility for MCD Intermediation (21 Apr 2021 to 10 Apr 2026)
    • SMF3 Executive Director (21 Apr 2021 to 10 Apr 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (21 Apr 2021 to 10 Apr 2026)
    • SMF16 Compliance Oversight (21 Apr 2021 to 10 Apr 2026)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • Appointed representative dealing with clients for which they require qualification (10 Dec 2019 to 30 Apr 2021)
    • [FCA CF] Client dealing (10 Dec 2019 to 30 Apr 2021)
    • CF1 Director (AR) (17 Jul 2013 to 30 Apr 2021)
    • CF30 Customer (13 Jun 2013 to 30 Apr 2021)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF1 Director (AR) (12 Oct 2009 to 12 Aug 2013)
    • CF30 Customer (12 Oct 2009 to 12 Aug 2013)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 16 Oct 2009)
    • CF21 Investment Adviser (9 Nov 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (4 Sep 2006 to 31 Oct 2007)

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

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