Kevin Graham

Watch for changes

Where they hold approval

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

WESLEYAN FINANCIAL SERVICES LIMITED
FRN 134753
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (4 Aug 2017 to 8 Dec 2019)
Lee C Dowdall Wealth Management Ltd (no longer approved here)
FRN 416277
- (2)Employed By (17 Aug 2016 to 10 Jul 2017)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (18 Jul 2016 to 10 Jul 2017)
Prospera Wealth Management LLP (no longer approved here)
FRN 677269
- (6)Employed By (18 Jul 2016 to 17 Aug 2016)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (1 Mar 2016 to 6 Mar 2016)
Fiducia Comprehensive Financial Planning Limited (no longer approved here)
FRN 209570
- (8)Employed By (25 Jan 2002 to 18 May 2004)

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.