Mark Christopher Swann

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • The On-Line Partnership Limited

    FRN 192638

    • 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)
    • 9A. Advising on P2P agreements
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (AR) (23 Oct 2007 to 20 Sep 2013)
    • CF24 Pension Transfer Specialist (15 Mar 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (27 Apr 2005 to 31 Oct 2007)
  • Simply Finance Ltd

    FRN 407478

    • (1)Employed By (since 3 Jul 2013)
    • (3)Employed By (15 Mar 2006 to 4 Jan 2008)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF7 Sole Trader (AR) (18 Nov 2004 to 14 Apr 2005)
    • CF22 Investment Adviser (Trainee) (18 Nov 2004 to 14 Apr 2005)

Recent activity

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

  1. controlled function removed: Employed By at Simply Finance Ltd

  2. controlled function added: (3)Employed By at Simply Finance Ltd

  3. controlled function added: (1)Employed By at Simply Finance Ltd