Graeme Richard Brock

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.

  • W1M Wealth Management Limited

    FRN 120776

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 1 Jul 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2025)
    • [FCA CF] Manager of certification employee (since 1 Jul 2025)
  • W1M Investment Management Limited

    FRN 116404

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 31 Mar 2024)
    • [FCA CF] Client dealing (since 4 May 2023)
    • [FCA CF] Functions requiring qualifications (since 4 May 2023)
  • Evelyn Partners Securities (no longer approved here)

    FRN 124255

    • [FCA CF] Significant management (24 Sep 2020 to 12 Apr 2023)
  • Evelyn Partners Investment Services Limited (no longer approved here)

    FRN 131816

    • [FCA CF] Significant management (24 Sep 2020 to 12 Apr 2023)
    • CF30 Customer (1 Nov 2007 to 30 Sep 2013)
    • CF27 Investment Management (2 Jan 2006 to 31 Oct 2007)
    • CF1 Director (2 Jan 2006 to 31 Aug 2006)
    • CF21 Investment Adviser (2 Jan 2006 to 31 Oct 2007)
  • TILNEY DISCRETIONARY PORTFOLIO MANAGEMENT LIMITED (no longer approved here)

    FRN 142989

    • [FCA CF] Significant management (24 Sep 2020 to 12 Apr 2023)
  • Evelyn Partners Discretionary Investment Management Limited (no longer approved here)

    FRN 147103

    • [FCA CF] Significant management (24 Sep 2020 to 12 Apr 2023)
  • Evelyn Partners Investment Management Services Limited (no longer approved here)

    FRN 165169

    • [FCA CF] Significant management (24 Sep 2020 to 12 Apr 2023)
  • Evelyn Partners Asset Management Limited (no longer approved here)

    FRN 223074

    • [FCA CF] Significant management (24 Sep 2020 to 12 Apr 2023)
  • HOWDEN FS LIMITED (no longer approved here)

    FRN 180563

    • [FCA CF] Significant management (9 Dec 2019 to 12 Apr 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 12 Apr 2023)
  • Evelyn Partners Investment Management LLP (no longer approved here)

    FRN 580531

    • [FCA CF] Significant management (9 Dec 2019 to 12 Apr 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 12 Apr 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Apr 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 12 Apr 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 12 Apr 2023)
    • CF30 Customer (7 May 2013 to 8 Dec 2019)
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