Stephen Neil 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.

  • HORIZON INDEPENDENT FINANCIAL ADVISERS LIMITED (no longer approved here)

    FRN 210464

    • CF30 Customer (1 Nov 2007 to 28 Sep 2012)
    • Responsible for Insurance Mediation (14 Jan 2005 to 28 Sep 2012)
    • CF11 Money Laundering Reporting (10 Mar 2003 to 28 Sep 2012)
    • CF1 Director (10 Mar 2003 to 28 Sep 2012)
    • CF8 Apportionment and Oversight (10 Mar 2003 to 31 Mar 2009)
    • CF21 Investment Adviser (10 Mar 2003 to 31 Oct 2007)
    • CF10 Compliance Oversight (10 Mar 2003 to 28 Sep 2012)

Recent activity

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

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