Nicholas Swarbrick

Watch for changes

Where they hold approval

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

Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- Appointed representative dealing with clients for which they require qualification (9 Dec 2020 to 13 Oct 2023)
- CF30 Customer (1 Nov 2007 to 13 Oct 2023)
- CF21 Investment Adviser (10 Aug 2005 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (18 Apr 2005 to 10 Aug 2005)
Lighthouse Financial Advice Limited (no longer approved here)
FRN 225502
- (543)Employed By (18 Apr 2005 to 13 Oct 2023)
Turner Bates Financial Management Limited (644) (no longer approved here)
FRN 153163
- (4)Employed By (19 Dec 2000 to 11 Jan 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.