Tom Swerling

Last updated
3 weeks ago
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Where they hold approval

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

  • Deutsche Bank AG

    FRN 150018

    • [FCA CF] Significant management (since 13 Mar 2026)
    • [FCA CF] Client dealing (since 3 Sep 2025)
    • [FCA CF] Manager of certification employee (since 3 Sep 2025)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • [FCA CF] Manager of certification employee (30 Nov 2018 to 14 Apr 2025)
    • [FCA CF] Client dealing (7 Sep 2016 to 14 Apr 2025)
    • CF30 Customer (31 Oct 2011 to 6 Mar 2016)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF30 Customer (14 Oct 2008 to 3 Aug 2011)

Recent activity

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

No changes recorded yet.