Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Granite Financial Solutions Limited
FRN 767639
- 8. Giving personal recommendations on investments in the course of corporate finance business
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Responsibility for MCD Intermediation (since 28 Jan 2022)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (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)
- [FCA CF] Significant management (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (30 Mar 2017 to 8 Dec 2019)
- CF1 Director (30 Mar 2017 to 8 Dec 2019)
- CF10 Compliance Oversight (30 Mar 2017 to 8 Dec 2019)
- CF11 Money Laundering Reporting (30 Mar 2017 to 8 Dec 2019)
- Responsible for Insurance Mediation (30 Mar 2017 to 30 Sep 2018)
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- CF30 Customer (22 Sep 2014 to 12 Jan 2017)
- CF1 Director (AR) (22 Sep 2014 to 12 Jan 2017)
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- CF30 Customer (4 Mar 2009 to 23 Dec 2010)
- CF1 Director (AR) (4 Mar 2009 to 23 Dec 2010)
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- CF30 Customer (1 Nov 2007 to 5 Jun 2008)
- CF21 Investment Adviser (26 Nov 2003 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.