James Baxter

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.

  • Tideway Investment Partners LLP

    FRN 496214

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF1 Director (AR) (since 21 May 2019)
    • CF30 Customer (since 16 Apr 2009)
    • CF10 Compliance Oversight (16 Apr 2009 to 3 Apr 2017)
    • CF11 Money Laundering Reporting (16 Apr 2009 to 3 Apr 2017)
    • CF4 Partner (16 Apr 2009 to 8 Dec 2019)
  • Tideway Wealth Management Ltd

    FRN 839678

    • Employed By (since 21 May 2019)
  • Dart Capital Limited (no longer approved here)

    FRN 137569

    • CF30 Customer (1 Nov 2007 to 28 Feb 2008)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 2 Jul 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 2 Jul 2007)
    • CF3 Chief Executive (1 Dec 2001 to 1 Feb 2007)
    • CF1 Director (1 Dec 2001 to 28 Feb 2008)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Feb 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • St Andrews Financial Limited (no longer approved here)

    FRN 227058

    • Employed By (3 Mar 2005 to 28 Feb 2008)

Recent activity

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

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