James Baker

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.

  • Saltus Partnership Limited

    FRN 554381

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 1 Nov 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Nov 2025)
  • Niche Independent Financial Advisers Limited

    FRN 472635

    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • CF30 Customer (10 Aug 2016 to 9 May 2018)
  • TAVISTOCK PARTNERS (UK) LTD (no longer approved here)

    FRN 230342

    • [FCA CF] Client dealing (30 Jul 2024 to 13 Mar 2026)
    • [FCA CF] Functions requiring qualifications (30 Jul 2024 to 13 Mar 2026)
  • Niche Private Clients Ltd (no longer approved here)

    FRN 748261

    • [FCA CF] Client dealing (9 Dec 2020 to 3 Jul 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 19 Jan 2021)
    • CF30 Customer (9 May 2018 to 11 Sep 2018)
  • Sanctuary Financial Ltd (no longer approved here)

    FRN 807536

    • SMF17 Money Laundering Reporting Officer (MLRO) (3 Jan 2020 to 1 Jun 2020)
    • SMF3 Executive Director (9 Dec 2019 to 1 Jun 2020)
    • CF1 Director (26 Mar 2019 to 8 Dec 2019)
    • CF30 Customer (3 Dec 2018 to 8 Dec 2019)

Recent activity

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

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