Harriet Clare Graham

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.

  • STONEHAGE FLEMING WEALTH PLANNING LIMITED

    FRN 562235

    • 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 (26 Oct 2015 to 8 Dec 2019)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • CF30 Customer (8 Jun 2010 to 17 Jan 2011)
  • Forvis Mazars Financial Planning Limited (no longer approved here)

    FRN 182644

    • CF30 Customer (1 Nov 2007 to 5 Jan 2010)
    • CF22 Investment Adviser (Trainee) (21 Jun 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.