Stephen Courtney 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.

  • St. James's Place Wealth Management Plc

    FRN 195351

    • CF1 Director (AR) (since 4 Jan 2010)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 9 Jan 2025)
    • CF30 Customer (1 Nov 2007 to 9 Jan 2025)
    • CF7 Sole Trader (AR) (30 Nov 2005 to 31 Jan 2007)
    • CF21 Investment Adviser (30 Nov 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (20 Feb 2004 to 30 Nov 2004)
  • Smith Eliot Financial Management Ltd

    FRN 439711

    • (1)Employed By (since 19 Sep 2005)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (1 Dec 2001 to 11 Feb 2004)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 15 Jul 2003)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF7 Sole Trader (AR) (1 Dec 2001 to 15 Jul 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 11 Feb 2004)

Recent activity

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

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