Andrew Ellis Baum

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.

  • CBRE Investment Management Indirect Limited

    FRN 159366

    • [FCA CF] Client dealing (since 9 Feb 2026)
    • [FCA CF] Material risk taker (26 May 2023 to 6 Feb 2026)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (19 Dec 2006 to 21 Oct 2008)
    • CF27 Investment Management (19 Dec 2006 to 31 Oct 2007)
  • Newcore Capital Management Finance LLP

    FRN 582190

    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF27 Partner (9 Dec 2019 to 23 Mar 2026)
    • CF30 Customer (1 Aug 2012 to 8 Dec 2019)
    • CF4 Partner (1 Aug 2012 to 8 Dec 2019)
  • Alternatives St James LLP (no longer approved here)

    FRN 430914

    • CF30 Customer (17 Oct 2017 to 12 Mar 2022)
    • CF1 Director (AR) (17 Oct 2017 to 12 Mar 2022)
  • Principal Real Estate Limited (no longer approved here)

    FRN 564971

    • CF30 Customer (17 Nov 2011 to 23 Apr 2018)

Recent activity

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

No changes recorded yet.