Graham Stanley Hearnden

Last updated
5 days ago
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Where they hold approval

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

  • Golden Charter Limited

    FRN 965279

    • CF1 Director (AR) (since 21 Sep 2022)
  • ST ALBANS FAMILY FUNERAL SERVICES LIMITED

    FRN 981109

    • (1)Employed By (since 21 Sep 2022)
  • TRUST MATTERS FINANCIAL SERVICES LIMITED

    FRN 425729

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Apr 2005 to 31 Mar 2009)
    • Responsible for Insurance Mediation (1 Apr 2005 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (1 Apr 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2005 to 8 Dec 2019)
    • CF1 Director (1 Apr 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Apr 2005 to 31 Oct 2007)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (1 Dec 2001 to 6 Oct 2004)

Recent activity

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

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