Robert Graham Handford

Last updated
1 week ago
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Where they hold approval

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

  • Optimum Path Financial Planning Ltd

    FRN 116336

    • 11. Pension transfer specialist
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (2 Oct 2023 to 20 Nov 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 25 Feb 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 25 Feb 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 25 Feb 2022)
    • Responsible for Insurance Mediation (1 Apr 2018 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (1 Apr 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2018 to 8 Dec 2019)
    • CF1 Director (1 Jan 2018 to 8 Dec 2019)
    • CF30 Customer (25 Mar 2017 to 8 Dec 2019)
  • NOVA Wealth Ltd (no longer approved here)

    FRN 778951

    • CF30 Customer (27 Sep 2017 to 18 May 2018)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • CF30 Customer (11 Apr 2016 to 28 Feb 2018)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (8 Jan 2016 to 10 Feb 2016)
  • PSA Financial Services Limited (no longer approved here)

    FRN 231108

    • CF30 Customer (29 Apr 2008 to 14 Dec 2008)
  • BATEMAN ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 462900

    • CF30 Customer (3 Jan 2008 to 31 Oct 2008)
  • Ashwood Law Professional Link (JVC1) Limited (no longer approved here)

    FRN 223794

    • Employed By (8 May 2007 to 3 Oct 2007)

Recent activity

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

No changes recorded yet.