Claire Louise Swain

Last updated
5 days ago
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Where they hold approval

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

  • Platinum FS LTD

    FRN 975176

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 6 Feb 2023)
    • Responsibility for MCD Intermediation (since 3 Jan 2023)
    • Responsible for Insurance Distribution (since 3 Jan 2023)
    • SMF16 Compliance Oversight (since 3 Jan 2023)
    • SMF3 Executive Director (since 3 Jan 2023)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 3 Apr 2023)
    • CF1 Director (AR) (2 May 2008 to 19 Jun 2013)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF1 Director (AR) (2 Jun 2009 to 19 Jun 2013)

Recent activity

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

No changes recorded yet.