Paul Sweaton

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.

  • Fortic Financial Services Ltd

    FRN 474740

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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
    • 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 18 Mar 2026)
    • [FCA CF] Client dealing (since 18 Mar 2026)
  • Vision Independent Financial Planning Ltd (no longer approved here)

    FRN 487395

    • SMF9 Chair of the Governing Body (15 Feb 2024 to 3 Oct 2025)
    • Appointed representative dealing with clients for which they require qualification (21 Feb 2022 to 18 Mar 2026)
    • CF30 Customer (21 Feb 2022 to 18 Mar 2026)
    • CF1 Director (AR) (21 Feb 2022 to 18 Mar 2026)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Feb 2022)
    • SMF1 Chief Executive (9 Dec 2019 to 10 Jan 2024)
    • SMF3 Executive Director (9 Dec 2019 to 3 Oct 2025)
    • CF3 Chief Executive (6 Nov 2019 to 8 Dec 2019)
    • CF1 Director (1 Oct 2008 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 3 Oct 2008)
    • CF21 Investment Adviser (3 Apr 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 3 Sep 2002)

Recent activity

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

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