Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Graham Curtis and Company
FRN 163487
- 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] Significant management (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (2 May 2013 to 8 Dec 2019)
- Responsible for Insurance Mediation (15 Jan 2005 to 30 Sep 2018)
- CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (1 Dec 2001 to 1 Dec 2001)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.