Graham Baxter

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.

  • AMAS Investments Limited

    FRN 706535

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (3 Sep 2018 to 8 Dec 2019)
  • Capel Court Limited (no longer approved here)

    FRN 154146

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Jan 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 17 Jan 2025)
    • CF30 Customer (31 Mar 2010 to 8 Dec 2019)
  • CFJ Financial Ltd (no longer approved here)

    FRN 500099

    • Employed By (14 Jun 2010 to 8 Dec 2019)
  • Insurance First Brokers Limited (no longer approved here)

    FRN 164785

    • (16)Employed By (31 Oct 2005 to 8 Dec 2019)
  • Gosforth Financial Management (no longer approved here)

    FRN 200232

    • (5)Employed By (1 Aug 2003 to 24 Dec 2009)
  • KGS Financial Services Ltd (no longer approved here)

    FRN 152697

    • (5)Employed By (17 Aug 2002 to 8 Dec 2019)

Recent activity

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

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