Graham Derek Wainer

Last updated
3 weeks ago
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Where they hold approval

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

  • Stonehage Fleming Investment Management Limited

    FRN 194382

    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Material risk taker (since 1 Jan 2022)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (5 May 2016 to 8 Dec 2019)
    • CF3 Chief Executive (5 May 2016 to 8 Dec 2019)
    • CF30 Customer (5 May 2016 to 8 Dec 2019)
  • GAM London Limited (no longer approved here)

    FRN 122330

    • CF30 Customer (1 Nov 2007 to 8 Jan 2016)
    • CF1 Director (1 Dec 2001 to 11 Apr 2016)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • GAM INTERNATIONAL MANAGEMENT LIMITED (no longer approved here)

    FRN 122331

    • CF30 Customer (1 Nov 2007 to 8 Jan 2016)
    • CF27 Investment Management (12 Apr 2006 to 31 Oct 2007)
    • CF1 Director (12 Apr 2006 to 30 Aug 2012)

Recent activity

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

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