Graham Paul Spence

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.

  • Stirling House Financial Services Limited

    FRN 413234

    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (8 Jul 2015 to 8 Dec 2019)
  • Mardon Financial Advisers Limited (no longer approved here)

    FRN 538272

    • (4)Employed By (28 Jan 2014 to 20 May 2015)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (5 Oct 2010 to 20 May 2015)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Nov 2007 to 30 Sep 2010)
    • CF22 Investment Adviser (Trainee) (6 Feb 2007 to 31 Oct 2007)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (474)Employed By (6 Feb 2007 to 30 Sep 2010)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF22 Investment Adviser (Trainee) (24 Feb 2006 to 8 Dec 2006)

Recent activity

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

No changes recorded yet.