Steven Roy 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.

  • Numis Securities Limited (no longer approved here)

    FRN 144822

    • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (12 Dec 2005 to 31 Oct 2007)
  • Robert W. Baird Limited (no longer approved here)

    FRN 124308

    • CF21 Investment Adviser (1 Dec 2001 to 11 Nov 2005)

Recent activity

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

No changes recorded yet.