Charlotte Alexandra Swing

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • SCHRODER & CO. LIMITED

    FRN 144206

    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • [FCA CF] Manager of certification employee (since 7 Mar 2016)
    • [FCA CF] Client dealing (since 7 Mar 2016)
    • CF30 Customer (16 Feb 2011 to 6 Mar 2016)
  • Schroder Wealth Management (US) Limited (no longer approved here)

    FRN 781869

    • [FCA CF] Manager of certification employee (29 Jun 2023 to 9 Jul 2025)
  • Schroder Investment Management Limited (no longer approved here)

    FRN 119348

    • [FCA CF] Client dealing (2 Mar 2020 to 2 Feb 2021)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 30 May 2009)
    • CF21 Investment Adviser (3 Nov 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (17 Mar 2005 to 3 Nov 2006)

Recent activity

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

No changes recorded yet.