Stephen Brian Smith

Last updated
1 day ago
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Where they hold approval

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

  • Davison Smith Financial Management Limited

    FRN 687472

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (1 Sep 2015 to 8 Dec 2019)
    • CF1 Director (1 Sep 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Sep 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Sep 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Sep 2015 to 30 Sep 2018)
  • Davison Smith Financial Management Ltd (no longer approved here)

    FRN 211575

    • Employed By (8 May 2002 to 28 Aug 2015)
  • Redworth Caledonian Associates (no longer approved here)

    FRN 185246

    • (10)Employed By (29 Jun 1999 to 24 May 2002)

Recent activity

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

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