David William Swain

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (9 Nov 2017 to 7 Dec 2019)
Dyer & Co Wealth Management Ltd (no longer approved here)
FRN 591192
- (1)Employed By (9 Nov 2017 to 7 Dec 2019)
True Potential Wealth Management LLP (no longer approved here)
FRN 529810
- CF30 Customer (29 Jul 2014 to 27 Dec 2017)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF30 Customer (1 Nov 2007 to 30 Sep 2013)
- CF21 Investment Adviser (1 Dec 2001 to 21 Nov 2006)
Scottish Widows Unit Trust Managers Limited (no longer approved here)
FRN 122129
- CF21 Investment Adviser (16 Apr 2007 to 30 Jun 2007)
- CF22 Investment Adviser (Trainee) (21 Nov 2006 to 16 Apr 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.