Benjamin Grahame Alfred Baldwin

Last updated
6 days ago
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Where they hold approval

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

  • Stem Financial Ltd

    FRN 942874

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Jul 2021)
    • SMF3 Executive Director (since 1 Jul 2021)
    • [FCA CF] Client dealing (since 1 Jul 2021)
    • Responsible for Insurance Distribution (since 1 Jul 2021)
    • SMF16 Compliance Oversight (since 1 Jul 2021)
  • Grosvenor Corlett Bird Ltd (no longer approved here)

    FRN 213044

    • (4)Employed By (22 Oct 2015 to 8 Dec 2019)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (2 Mar 2015 to 31 Jan 2019)
  • CSLP Ltd (no longer approved here)

    FRN 463332

    • Employed By (23 Feb 2015 to 8 Dec 2019)

Recent activity

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

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