Julian Mark Swann

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.

  • QUILTER FINANCIAL SERVICES LIMITED

    FRN 440703

    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 20 Jul 2020)
    • CF30 Customer (since 7 May 2020)
    • CF1 Director (AR) (since 7 May 2020)
  • Quilter Mortgage Planning Limited

    FRN 440718

    • CF1 Director (AR) (since 7 May 2020)
  • Clear Financial Services (UK) Ltd

    FRN 527437

    • Employed By (since 27 Jul 2010)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (14 Mar 2013 to 6 Sep 2021)
    • CF1 Director (AR) (28 Dec 2011 to 6 Sep 2021)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (2 Jun 2004 to 24 Nov 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 20 Sep 2002)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF22 Investment Adviser (Trainee) (5 Mar 2003 to 6 Dec 2003)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF22 Investment Adviser (Trainee) (5 Mar 2003 to 6 Dec 2003)
  • Enterprise Financial Planning Ltd (no longer approved here)

    FRN 223126

    • Employed By (5 Mar 2003 to 11 Dec 2003)

Recent activity

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

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