Graham Alan Hicks

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.

  • GA Hicks Associates Ltd

    FRN 517598

    • 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)
    • [FCA CF] Client dealing (since 31 Mar 2020)
    • [FCA CF] Functions requiring qualifications (since 31 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (20 May 2010 to 8 Dec 2019)
    • CF1 Director (20 May 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 May 2010 to 8 Dec 2019)
    • CF30 Customer (20 May 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (20 May 2010 to 30 Sep 2018)
  • Principia Consulting Ltd (no longer approved here)

    FRN 219282

    • Employed By (23 Nov 2004 to 24 Feb 2006)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (2 Aug 2004 to 4 Feb 2005)
  • Capital Planning UK Ltd (no longer approved here)

    FRN 402461

    • Employed By (2 Aug 2004 to 4 Feb 2005)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • CF21 Investment Adviser (1 Dec 2001 to 26 Apr 2002)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF21 Investment Adviser (1 Dec 2001 to 9 Apr 2002)

Recent activity

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

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