Graeme John Mitchell

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Mitchell Griffin Wealth Management Limited

    FRN 458602

    • 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)
    • 11. Pension transfer specialist
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (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)
    • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (2 Jan 2007 to 31 Mar 2009)
    • CF1 Director (2 Jan 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (2 Jan 2007 to 31 Oct 2007)
    • Responsible for Insurance Mediation (2 Jan 2007 to 30 Sep 2018)
  • Equilibrium Wealth Management Limited (no longer approved here)

    FRN 182132

    • (9)Employed By (1 Oct 1998 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.