David Keith Baldwin

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.

  • CHRISTIAN DOUGLASS GROUP LIMITED

    FRN 465861

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Mar 2022)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (21 Oct 2015 to 30 Sep 2018)
    • CF10 Compliance Oversight (19 Aug 2015 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (2 Jul 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jul 2007 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (2 Jul 2007 to 31 Oct 2007)
    • CF4 Partner (AR) (2 Jul 2007 to 1 Jan 2009)
  • Christian Douglass Financial Planning LLP (no longer approved here)

    FRN 469760

    • Employed By (2 Jul 2007 to 1 Jan 2009)
  • Newton-Barr Limited (no longer approved here)

    FRN 413888

    • CF21 Investment Adviser (5 Apr 2005 to 1 Jul 2007)
    • CF22 Investment Adviser (Trainee) (14 Jan 2005 to 5 Apr 2005)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF1 Director (10 Apr 2002 to 5 Sep 2003)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 5 Sep 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 5 Sep 2003)

Recent activity

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

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