David John Graham

Watch for changes

Where they hold approval

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

PORTILLION CAPITAL LIMITED
FRN 597038
- [FCA CF] Client dealing (since 1 Jan 2021)
- CF30 Customer (27 May 2016 to 8 Dec 2019)
Innovation Contracting Limited
FRN 837443
- [FCA CF] Proprietary trader (since 19 Feb 2020)
- SMF29 Limited scope function (limited scope SMCR firms only) (since 19 Feb 2020)
- [FCA CF] Client dealing (since 19 Feb 2020)
Aspire Financial Management Ltd (no longer approved here)
FRN 568595
- Employed By (25 Mar 2013 to 3 Sep 2014)
TenetConnect Limited (no longer approved here)
FRN 149826
- CF30 Customer (16 Mar 2011 to 3 Sep 2014)
Merchant House Financial Services Ltd (no longer approved here)
FRN 538416
- Employed By (16 Mar 2011 to 8 Dec 2019)

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.