Victoria Simone Swann

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.

  • Michael James

    FRN 713035

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (18 Dec 2015 to 8 Dec 2019)
  • Michael James (no longer approved here)

    FRN 200072

    • (16)Employed By (7 Dec 2011 to 17 Dec 2015)

Recent activity

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

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