Simon 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.

  • AJ Bell Securities Limited

    FRN 155593

    • 16. Safeguarding and administering investments or holding client money
    • [FCA CF] Functions requiring qualifications (since 6 Feb 2023)
    • [FCA CF] Significant management (since 4 Nov 2021)
    • [FCA CF] Manager of certification employee (4 Nov 2021 to 23 Nov 2023)
  • AJ Bell Management Limited

    FRN 211468

    • [FCA CF] Significant management (since 4 Nov 2021)
    • [FCA CF] Manager of certification employee (4 Nov 2021 to 23 Nov 2023)
  • Equiniti Financial Services Limited (no longer approved here)

    FRN 468631

    • CF29 Significant management (10 May 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.