Wayne Smith

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.

  • Sandringham Financial Partners Limited

    FRN 581304

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 10 Aug 2017)
    • CF30 Customer (since 3 May 2017)
  • WLS Investment Partnership Limited

    FRN 786373

    • Employed By (since 10 Aug 2017)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (12 May 2016 to 10 Mar 2017)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • CF30 Customer (9 Sep 2013 to 6 May 2016)
  • Prudential Distribution Limited (no longer approved here)

    FRN 194709

    • CF30 Customer (13 Jan 2012 to 9 Sep 2013)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (11 May 2011 to 24 Dec 2011)

Recent activity

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

No changes recorded yet.