Iain Graham

Watch for changes

Where they hold approval

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

Fairstone Financial Management Limited (no longer approved here)
FRN 475973
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Sep 2020)
- [FCA CF] Client dealing (9 Dec 2019 to 8 Sep 2020)
- CF30 Customer (12 Apr 2019 to 8 Dec 2019)
M&G ADVICE PARTNERS LIMITED (no longer approved here)
FRN 584256
- CF30 Customer (25 Jul 2018 to 7 Jan 2019)
Nationwide Building Society (no longer approved here)
FRN 106078
- CF30 Customer (17 Jun 2015 to 6 Mar 2016)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF30 Customer (1 Nov 2007 to 30 Dec 2010)
- CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (16 Jun 2006 to 2 Apr 2007)
HBOS Investment Fund Managers Limited (no longer approved here)
FRN 119223
- CF22 Investment Adviser (Trainee) (7 May 2003 to 5 Jun 2003)
- CF21 Investment Adviser (1 Dec 2001 to 21 Jan 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.