Charles Alexander Mcswiggan

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.

  • KW Wealth Planning Limited

    FRN 114694

    • 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] Client dealing (since 25 Jun 2024)
    • [FCA CF] Functions requiring qualifications (since 25 Jun 2024)
  • FACET INVESTMENT MANAGEMENT LTD (no longer approved here)

    FRN 131372

    • [FCA CF] Functions requiring qualifications (4 May 2022 to 25 Jul 2024)
  • Ceres Securities Limited (no longer approved here)

    FRN 595240

    • [FCA CF] Client dealing (1 Jan 2021 to 3 May 2022)

Recent activity

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

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