Stephen Graham

Last updated
2 weeks ago
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Where they hold approval

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

  • Succession Financial Management Limited

    FRN 225831

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 7 Jan 2025)
    • CF30 Customer (26 Apr 2017 to 8 Dec 2019)
  • SUCCESSION WEALTH MANAGEMENT LIMITED

    FRN 588378

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (26 Apr 2017 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (11 Jan 2010 to 30 Sep 2012)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 7 Dec 2009)
    • CF22 Investment Adviser (Trainee) (19 Oct 2007 to 31 Oct 2007)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 15 Nov 2007)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF22 Investment Adviser (Trainee) (31 Mar 2003 to 5 Jun 2003)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF21 Investment Adviser (22 Apr 2002 to 28 Mar 2003)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 22 Apr 2002)
  • RBS Collective Investment Funds Limited (no longer approved here)

    FRN 122139

    • CF21 Investment Adviser (22 Apr 2002 to 22 Apr 2002)
  • Aviva Life & Pensions UK Limited (no longer approved here)

    FRN 185896

    • CF21 Investment Adviser (22 Apr 2002 to 22 Apr 2002)

Recent activity

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

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