Roy Sinclair Smith

Last updated
3 weeks ago
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Where they hold approval

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

  • Shackleton Advisers Limited

    FRN 163291

    • 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 13 Aug 2025)
    • [FCA CF] Client dealing (since 13 Aug 2025)
  • HW Financial Services Limited (no longer approved here)

    FRN 134190

    • [FCA CF] Client dealing (9 Dec 2019 to 8 Dec 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Dec 2024)
    • CF30 Customer (28 Jul 2015 to 8 Dec 2019)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • [FCA CF] Client dealing (9 Dec 2019 to 8 Dec 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Dec 2024)
    • CF30 Customer (14 Dec 2016 to 8 Dec 2019)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (6 Jul 2011 to 8 May 2015)
    • CF21 Investment Adviser (31 Aug 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (2 Sep 2005 to 31 Aug 2006)

Recent activity

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

No changes recorded yet.