Thomas James Smith

Last updated
3 weeks ago
Watch for changes

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

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • CF1 Director (AR) (since 4 Dec 2024)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 4 Mar 2013)
  • TWM Financial Partners Ltd

    FRN 1021394

    • (3)Employed By (since 4 Dec 2024)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 10 Nov 2008)
    • CF21 Investment Adviser (10 May 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 Apr 2004 to 10 May 2006)

Recent activity

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

No changes recorded yet.