Sarah Swinford

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.

  • Shackleton Advisers Limited

    FRN 163291

    • 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] Client dealing (since 7 Apr 2026)
    • [FCA CF] Functions requiring qualifications (since 7 Apr 2026)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • [FCA CF] Functions requiring qualifications (2 Apr 2024 to 31 Oct 2025)
    • [FCA CF] Client dealing (2 Apr 2024 to 31 Oct 2025)
  • LEGAL & MEDICAL INVESTMENTS LIMITED (no longer approved here)

    FRN 185193

    • CF30 Customer (1 Sep 2013 to 24 Aug 2015)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (9 Mar 2009 to 20 Jun 2013)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (5 Jun 2008 to 9 Jan 2009)

Recent activity

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

No changes recorded yet.