Stephen James Swirles

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • LWM10 LTD

    FRN 458204

    • 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 19 Dec 2019)
    • [FCA CF] Client dealing (since 19 Dec 2019)
    • CF30 Customer (since 5 Jun 2019)
  • Lakeside FS Ltd.

    FRN 788800

    • (2)Employed By (since 5 Jun 2019)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • CF30 Customer (22 Dec 2018 to 24 May 2019)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 13 Jan 2006)

Recent activity

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

No changes recorded yet.