Joe Swanson

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.

  • AFH Independent Financial Services Limited

    FRN 216704

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (29 Aug 2018 to 8 Dec 2019)
  • Hargreaves Lansdown Advisory Services Limited (no longer approved here)

    FRN 189627

    • CF30 Customer (5 Nov 2012 to 25 Jan 2017)
  • Obsidian Financial Limited (no longer approved here)

    FRN 509756

    • CF1 Director (AR) (20 Jan 2011 to 31 Oct 2012)
    • CF30 Customer (13 Dec 2010 to 31 Oct 2012)
  • Origen Financial Services Limited (no longer approved here)

    FRN 192666

    • CF30 Customer (1 Nov 2007 to 28 Dec 2007)
    • CF21 Investment Adviser (1 Mar 2005 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.