Luke Oliver David Sword

• Fisher Investments Europe Limited

  FRN 191609

  • 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)
  • [FCA CF] Client dealing (since 9 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 9 Oct 2024)
• AFH Independent Financial Services Limited (no longer approved here)

  FRN 216704

  • [FCA CF] Client dealing (16 Nov 2023 to 20 Sep 2024)
  • [FCA CF] Functions requiring qualifications (16 Nov 2023 to 20 Sep 2024)
• The Path Financial Limited (no longer approved here)

  FRN 827270

  • [FCA CF] Functions requiring qualifications (24 Jun 2021 to 8 Sep 2023)
  • [FCA CF] Client dealing (24 Jun 2021 to 8 Sep 2023)
• PREMIER FINANCIAL PLANNING LIMITED (no longer approved here)

  FRN 490515

  • [FCA CF] Client dealing (9 Dec 2019 to 21 May 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 May 2021)
• J. EDWARD SELLARS AND PARTNERS LIMITED (no longer approved here)

  FRN 116320

  • CF30 Customer (25 Jul 2014 to 30 Jul 2019)
• National Friendly Financial Solutions Limited (no longer approved here)

  FRN 452784

  • CF30 Customer (8 Sep 2009 to 31 Mar 2010)
• Chase de Vere Independent Financial Advisers limited (no longer approved here)

  FRN 137914

  • CF30 Customer (14 Apr 2009 to 18 Sep 2009)

No changes recorded yet.