James Christopher Swaby

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.

  • Rathbones Investment Management Limited

    FRN 116316

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 16 Oct 2024)
    • [FCA CF] Functions requiring qualifications (since 16 Oct 2024)
    • [FCA CF] Client dealing (since 16 Oct 2024)
  • Attivo Financial Services Limited (no longer approved here)

    FRN 462105

    • CF30 Customer (14 Aug 2012 to 18 Jun 2013)
  • Pensionadvice Ltd (no longer approved here)

    FRN 231685

    • (1)Employed By (19 Oct 2007 to 27 Oct 2008)

Recent activity

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

No changes recorded yet.