Steven Martin

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.

  • Smart Financial Planning Ltd

    FRN 484300

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF3 Chief Executive (26 Jun 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2008 to 8 Dec 2019)
    • CF1 Director (1 Oct 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2008 to 8 Dec 2019)
    • CF30 Customer (1 Oct 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Oct 2008 to 31 Mar 2009)
    • Responsible for Insurance Mediation (1 Oct 2008 to 30 Sep 2018)
  • Christian Douglass Wealth Management LLP (no longer approved here)

    FRN 480916

    • Employed By (8 Apr 2008 to 6 Oct 2008)
  • CHRISTIAN DOUGLASS GROUP LIMITED (no longer approved here)

    FRN 465861

    • CF30 Customer (1 Nov 2007 to 6 Oct 2008)
    • CF4 Partner (AR) (2 Jul 2007 to 6 Oct 2008)
    • CF22 Investment Adviser (Trainee) (2 Jul 2007 to 31 Oct 2007)
  • Christian Douglass Financial Planning LLP (no longer approved here)

    FRN 469760

    • Employed By (9 Jul 2007 to 8 Dec 2019)
  • Newton-Barr Limited (no longer approved here)

    FRN 413888

    • CF22 Investment Adviser (Trainee) (25 Nov 2005 to 1 Jul 2007)
  • HW Financial Services Limited (no longer approved here)

    FRN 134190

    • CF21 Investment Adviser (3 May 2002 to 2 May 2003)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 3 May 2002)

Recent activity

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

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