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
- 4. Giving personal recommendations on retail investment products which are not broker funds
- CF1 Director (AR) (since 28 Sep 2022)
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 1 Nov 2007)
- CF4 Partner (AR) (3 Nov 2010 to 4 Oct 2022)
- CF21 Investment Adviser (28 Jul 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (25 Apr 2006 to 28 Jul 2006)
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Swann Financial Limited
FRN 451053
- (1)Employed By (since 22 May 2009)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.