Richard Andrew Swain

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.

  • Bentley Reid & Co (UK) Limited

    FRN 572096

    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Jun 2012 to 8 Dec 2019)
  • M&G Investment Management Limited (no longer approved here)

    FRN 119328

    • CF27 Investment Management (30 Jan 2007 to 4 Jul 2007)

Recent activity

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

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