Graeme Swan

Watch for changes

Where they hold approval

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

Quilter Mortgage Planning Limited (no longer approved here)
FRN 440718
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 29 Dec 2023)
- CF1 Director (AR) (26 Sep 2014 to 29 Dec 2023)
QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- CF1 Director (AR) (25 Sep 2014 to 29 Dec 2023)
Connect & Protect Financial Limited (no longer approved here)
FRN 585294
- Employed By (25 Sep 2014 to 29 Dec 2023)
Openwork Limited (no longer approved here)
FRN 408285
- CF1 Director (AR) (21 Nov 2012 to 14 Sep 2014)
Personal Touch Financial Services Limited (no longer approved here)
FRN 187834
- CF1 Director (AR) (27 Jul 2012 to 11 Dec 2012)
RLUM Limited (no longer approved here)
FRN 144032
- CF21 Investment Adviser (1 Dec 2001 to 27 Feb 2004)

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.