Graham Robert Maxwell

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.

  • Alpha Independent Mortgages LLP

    FRN 630147

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 8 Nov 2017)
    • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
    • CF10 Compliance Oversight (8 Nov 2017 to 8 Dec 2019)
    • CF4 Partner (2 Jan 2015 to 8 Dec 2019)
  • Alpha Independent Mortgages LLP (no longer approved here)

    FRN 425686

    • Employed By (11 Feb 2005 to 31 Dec 2014)

Recent activity

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

No changes recorded yet.