Wendie Smith

Watch for changes

Where they hold approval

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

Affinity Financial Awareness Limited (no longer approved here)
FRN 409160
- CF30 Customer (2 Jan 2008 to 26 Sep 2008)
Castlegate Financial Management Limited (no longer approved here)
FRN 169777
- CF21 Investment Adviser (21 Sep 2007 to 12 Oct 2007)
- CF22 Investment Adviser (Trainee) (27 Oct 2006 to 17 Sep 2007)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF22 Investment Adviser (Trainee) (30 Aug 2006 to 13 Sep 2006)
Trinity Wealth Management (no longer approved here)
FRN 456503
- Employed By (30 Aug 2006 to 13 Sep 2006)
Coutts & Company (no longer approved here)
FRN 122287
- CF21 Investment Adviser (12 Nov 2004 to 28 Apr 2006)
- CF22 Investment Adviser (Trainee) (19 Jul 2004 to 12 Nov 2004)

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.