Steven James Smith

Watch for changes

Where they hold approval

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

QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- CF30 Customer (12 Mar 2013 to 6 Jan 2016)
PRG Financial Planners Limited (no longer approved here)
FRN 592781
- (2)Employed By (12 Mar 2013 to 6 Jan 2016)
QUILTER WEALTH LIMITED (no longer approved here)
FRN 217742
- CF30 Customer (20 Nov 2012 to 31 Dec 2012)
Christopher Smith (no longer approved here)
FRN 512261
- Employed By (2 Feb 2012 to 31 Oct 2012)
Personal Touch Financial Services Limited (no longer approved here)
FRN 187834
- CF30 Customer (22 Dec 2011 to 31 Oct 2012)
RLUM Limited (no longer approved here)
FRN 144032
- CF30 Customer (14 Jul 2008 to 29 Oct 2011)
- CF21 Investment Adviser (1 Dec 2001 to 13 Oct 2006)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.