Andrea Jane Swaine

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Prosperity Financial Management Limited

    FRN 1006940

    • (5)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (6)[FCA CF] Client dealing (since 8 Apr 2024)
    • (7)[FCA CF] Functions requiring qualifications (since 3 Apr 2024)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (18 Jan 2022 to 28 Mar 2024)

Recent activity

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

  1. controlled function removed: [FCA CF] Client dealing at Prosperity Financial Management Limited

  2. controlled function removed: 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at Prosperity Financial Management Limited

  3. controlled function removed: [FCA CF] Functions requiring qualifications at Prosperity Financial Management Limited

  4. controlled function added: (5)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at Prosperity Financial Management Limited

  5. controlled function added: (6)[FCA CF] Client dealing at Prosperity Financial Management Limited

  6. controlled function added: (7)[FCA CF] Functions requiring qualifications at Prosperity Financial Management Limited