Roy Leslie Swain

Last updated
1 week ago
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Where they hold approval

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

  • TIML Ltd

    FRN 670184

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Material risk taker (since 20 Oct 2023)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 20 Oct 2023)
    • CF30 Customer (20 Jul 2015 to 8 Dec 2019)
    • CF1 Director (20 Jul 2015 to 8 Dec 2019)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • CF30 Customer (3 Nov 2010 to 5 Sep 2016)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF30 Customer (27 May 2008 to 6 May 2010)
  • Evelyn Partners Securities (no longer approved here)

    FRN 124255

    • CF30 Customer (1 Nov 2007 to 6 May 2010)
    • CF27 Investment Management (13 Apr 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (13 Apr 2004 to 31 Oct 2007)

Recent activity

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

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