William James 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.

  • Wirral Financial Services Ltd

    FRN 475700

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 27 Jan 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (10 Jan 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (10 Jan 2008 to 8 Dec 2019)
    • Responsible for Insurance Mediation (10 Jan 2008 to 30 Sep 2018)
    • CF10 Compliance Oversight (10 Jan 2008 to 8 Dec 2019)
    • CF1 Director (10 Jan 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (10 Jan 2008 to 31 Mar 2009)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (7 Feb 2012 to 10 Feb 2012)
  • Uniec Prestige Ltd (no longer approved here)

    FRN 544324

    • Employed By (7 Feb 2012 to 10 Feb 2012)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
    • CF21 Investment Adviser (18 Apr 2006 to 31 Oct 2007)
  • Wirral Financial Services Ltd (no longer approved here)

    FRN 195331

    • Employed By (1 Dec 2001 to 7 Sep 2006)

Recent activity

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

No changes recorded yet.