Graham Richard Tracey

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.

  • BACKHOUSE INDEPENDENT FINANCIAL SERVICES LIMITED

    FRN 126319

    • 11. Pension transfer specialist
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • SMF16 Compliance Oversight (since 2 Nov 2022)
    • Responsible for Insurance Distribution (since 2 Nov 2022)
    • SMF3 Executive Director (since 2 Nov 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (17 Feb 2015 to 8 Dec 2019)
  • Carpenter Rees Limited (no longer approved here)

    FRN 189740

    • CF30 Customer (1 Nov 2007 to 9 Feb 2015)
    • CF21 Investment Adviser (18 Oct 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (17 May 2006 to 18 Oct 2007)

Recent activity

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

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