John Swain

Watch for changes

Where they hold approval

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

Crawford Dean Wealth Management Limited (no longer approved here)
FRN 654482
- Employed By (9 Dec 2014 to 3 Jul 2017)
Wilson Dean Associates Limited (no longer approved here)
FRN 219004
- Employed By (1 Feb 2010 to 9 Dec 2014)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (1 Nov 2007 to 3 Jul 2017)
- CF21 Investment Adviser (30 May 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (8 Feb 2006 to 30 May 2006)
RLUM Limited (no longer approved here)
FRN 144032
- CF21 Investment Adviser (1 Dec 2001 to 18 Feb 2006)

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.