David Mark Baldock

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.

  • Invicta Financial Solutions Ltd

    FRN 949773

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 1 Nov 2021)
    • Responsibility for MCD Intermediation (since 1 Nov 2021)
    • Responsible for Insurance Distribution (since 1 Nov 2021)
    • SMF16 Compliance Oversight (since 1 Nov 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Nov 2021)
    • SMF3 Executive Director (since 1 Nov 2021)
    • [FCA CF] Client dealing (since 1 Nov 2021)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF30 Customer (26 Apr 2013 to 10 Dec 2013)
    • CF1 Director (AR) (8 Sep 2011 to 12 Apr 2013)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF1 Director (AR) (8 Sep 2011 to 12 Apr 2013)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (4 Jan 2011 to 30 Jan 2016)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
    • CF22 Investment Adviser (Trainee) (6 Jun 2005 to 31 Oct 2007)
  • Blueprint Financial Services Ltd (no longer approved here)

    FRN 227242

    • Employed By (12 Feb 2007 to 31 Dec 2007)
  • Blueprint South East Ltd (no longer approved here)

    FRN 227241

    • Employed By (30 Mar 2006 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (24 Sep 2003 to 20 Dec 2004)

Recent activity

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

No changes recorded yet.