Where they hold approval

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

    • SMF1 Chief Executive (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • SMF3 Executive Director (9 Dec 2019 to 20 Oct 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 17 Oct 2025)
    • [FCA CF] Significant management (9 Dec 2019 to 17 Oct 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Oct 2025)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF21 Investment Adviser (1 Dec 2001 to 2 Mar 2005)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 2 Mar 2005)
    • CF10 Compliance Oversight (1 Dec 2001 to 2 Mar 2005)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
  • MICHAEL GRAHAM FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 307771

    • Responsibility for MCD Intermediation (21 Mar 2016 to 4 Jul 2017)
    • Responsible for Insurance Mediation (14 Jan 2005 to 4 Jul 2017)
    • CF1 Director (31 Oct 2004 to 4 Jul 2017)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)

Recent activity

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

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