Norman Lewis Gray

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Norman Gray

    FRN 929419

    • (5)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (6)4. Giving personal recommendations on retail investment products which are not broker funds
    • (7)SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Dec 2020)
    • (8)SMF16 Compliance Oversight (since 8 Dec 2020)
    • (10)[FCA CF] Functions requiring qualifications (since 8 Dec 2020)
    • (9)[FCA CF] Client dealing (since 8 Aug 2020)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (30 Dec 2011 to 30 Nov 2020)
  • Norman Gray (no longer approved here)

    FRN 220159

    • (4)Employed By (4 Nov 2002 to 30 Dec 2011)

Recent activity

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

  1. controlled function added: (9)[FCA CF] Client dealing at Norman Gray

  2. controlled function added: (10)[FCA CF] Functions requiring qualifications at Norman Gray