Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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St. James's Place Wealth Management Plc
FRN 195351
- 11. Pension transfer specialist
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 8 Nov 2013)
- CF1 Director (AR) (8 Nov 2013 to 11 Jan 2017)
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Swann Financial Limited
FRN 451053
- (11)Employed By (since 16 Feb 2019)
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- Employed By (10 Jan 2017 to 2 Sep 2019)
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- Employed By (8 Nov 2013 to 10 Jan 2017)
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- CF30 Customer (1 Nov 2007 to 27 Sep 2013)
- CF22 Investment Adviser (Trainee) (29 Oct 2007 to 31 Oct 2007)
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- CF22 Investment Adviser (Trainee) (27 Nov 2006 to 26 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.