Graham David Robb

Watch for changes

Where they hold approval

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

Robb & Associates Ltd (no longer approved here)
FRN 670000
- SMF16 Compliance Oversight (9 Dec 2019 to 7 Apr 2020)
- SMF3 Executive Director (9 Dec 2019 to 7 Apr 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Apr 2020)
- Responsible for Insurance Distribution (1 Oct 2018 to 7 Apr 2020)
- CF11 Money Laundering Reporting (10 Mar 2015 to 8 Dec 2019)
- Responsible for Insurance Mediation (10 Mar 2015 to 30 Sep 2018)
- CF10 Compliance Oversight (10 Mar 2015 to 8 Dec 2019)
- CF1 Director (10 Mar 2015 to 8 Dec 2019)
2 Plan Wealth Management Limited (no longer approved here)
FRN 461598
- CF30 Customer (3 Aug 2010 to 30 Dec 2012)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF22 Investment Adviser (Trainee) (9 Mar 2005 to 31 May 2007)

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.