Graeme Peter Elliott-Smith

Watch for changes

Where they hold approval

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

SW FINANCIAL PLANNING LIMITED
FRN 222033
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 18 Jul 2025)
- [FCA CF] Client dealing (since 18 Jul 2025)
- [FCA CF] Functions requiring qualifications (since 18 Jul 2025)
Scottish Equitable Plc (no longer approved here)
FRN 165548
- CF21 Investment Adviser (17 Aug 2002 to 10 Sep 2002)
- CF22 Investment Adviser (Trainee) (30 May 2002 to 17 Aug 2002)

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.