Nicky Wayne Swartout

Last updated
2 weeks ago
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Where they hold approval

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

  • Openwork Limited

    FRN 408285

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 15 Nov 2016)
    • CF30 Customer (since 15 Apr 2010)
  • Bray Wealth Management Limited

    FRN 214806

    • Employed By (since 15 Apr 2010)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (29 May 2009 to 5 Feb 2010)
  • New Leaf Distribution Limited (no longer approved here)

    FRN 460421

    • CF1 Director (AR) (6 Jun 2008 to 25 Mar 2010)

Recent activity

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

No changes recorded yet.