James William Graham

Watch for changes

Where they hold approval

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

Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- CF30 Customer (6 May 2009 to 9 Aug 2010)
- CF21 Investment Adviser (19 Jun 2003 to 10 Jun 2005)
Thornton & Baines Independent Financial Advisers Limited (no longer approved here)
FRN 462513
- CF30 Customer (1 Nov 2007 to 3 Jun 2009)
- CF21 Investment Adviser (21 Mar 2007 to 31 Oct 2007)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF21 Investment Adviser (24 Jul 2006 to 6 Nov 2007)
- CF22 Investment Adviser (Trainee) (4 May 2005 to 24 Jul 2006)
Lighthouse Financial Advice Limited (no longer approved here)
FRN 225502
- (247)Employed By (19 Jun 2003 to 10 Jun 2005)

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.