Mark Swallow

Last updated
3 weeks ago
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Where they hold approval

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

  • One Four Nine Wealth Limited

    FRN 153508

    • 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] Functions requiring qualifications (since 24 Nov 2023)
    • [FCA CF] Client dealing (since 24 Nov 2023)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • [FCA CF] Client dealing (9 Dec 2019 to 20 Mar 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Mar 2023)
    • CF30 Customer (24 Mar 2009 to 9 Nov 2012)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (19 Sep 2016 to 25 Aug 2017)
  • Fisher Investments Europe Limited (no longer approved here)

    FRN 191609

    • CF30 Customer (29 Mar 2016 to 1 Jul 2016)
  • Advance Mortgage Funding Limited (no longer approved here)

    FRN 305008

    • CF1 Director (AR) (10 Jan 2008 to 16 Mar 2009)
  • Swallow Mortgage Solutions Ltd (no longer approved here)

    FRN 477246

    • Employed By (10 Jan 2008 to 16 Mar 2009)

Recent activity

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

No changes recorded yet.