John Baggs

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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

RWA FP Ltd
FRN 978370
- (6)Employed By (since 7 Jul 2022)
St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 9 May 2008)
Atherton & Associates Wealth Management Ltd (no longer approved here)
FRN 481858
- Employed By (9 Jan 2019 to 1 May 2020)
Bank of Scotland plc (no longer approved here)
FRN 169628
- CF30 Customer (1 Nov 2007 to 16 May 2008)
- CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
HBOS Investment Fund Managers Limited (no longer approved here)
FRN 119223
- CF22 Investment Adviser (Trainee) (21 Jan 2003 to 5 Jun 2003)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.