John 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.

  • Succession Financial Management Limited

    FRN 225831

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 1 Jul 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2025)
  • SUCCESSION WEALTH MANAGEMENT LIMITED

    FRN 588378

    • 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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2025)
    • [FCA CF] Client dealing (since 1 Jul 2025)
  • Flowers McEwan Limited (no longer approved here)

    FRN 593401

    • (16)SMF1 Chief Executive (20 May 2024 to 1 Jul 2025)
    • (13)Responsible for Insurance Distribution (20 May 2024 to 22 Dec 2025)
    • (14)SMF16 Compliance Oversight (20 May 2024 to 8 Aug 2025)
    • (15)SMF3 Executive Director (20 May 2024 to 1 Jul 2025)
  • Navigator Financial Planning Limited (no longer approved here)

    FRN 587701

    • (15)Responsibility for MCD Intermediation (18 Dec 2020 to 22 Dec 2025)
    • (16)Responsible for Insurance Distribution (2 Apr 2020 to 22 Dec 2025)
    • (17)SMF16 Compliance Oversight (2 Apr 2020 to 8 Aug 2025)
    • (19)SMF1 Chief Executive (2 Apr 2020 to 1 Jul 2025)
    • (18)SMF3 Executive Director (9 Dec 2019 to 1 Jul 2025)
    • (21)Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Jul 2025)
    • (23)[FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2025)
    • (24)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2025)
    • (25)CF1 Director (15 Nov 2017 to 8 Dec 2019)
    • (20)CF30 Customer (4 Nov 2015 to 1 Jul 2025)
    • (22)CF1 Director (AR) (4 Nov 2015 to 1 Jul 2025)
  • Lee Strathy Limited (no longer approved here)

    FRN 607803

    • (8)Responsible for Insurance Distribution (29 May 2020 to 22 Dec 2025)
    • (9)SMF16 Compliance Oversight (9 Dec 2019 to 8 Aug 2025)
    • (13)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2025)
    • (12)[FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2025)
    • (11)SMF1 Chief Executive (9 Dec 2019 to 1 Jul 2025)
    • (10)SMF3 Executive Director (9 Dec 2019 to 1 Jul 2025)
  • Law Society (NI) Financial Advice Limited (no longer approved here)

    FRN 141726

    • (48)[FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2025)
    • (43)SMF3 Executive Director (9 Dec 2019 to 1 Jul 2025)
    • (42)SMF16 Compliance Oversight (9 Dec 2019 to 8 Aug 2025)
    • (50)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2025)
    • (44)SMF1 Chief Executive (9 Dec 2019 to 1 Jul 2025)
    • (40)Responsible for Insurance Distribution (1 Oct 2018 to 19 Sep 2025)
    • (39)Responsibility for MCD Intermediation (21 Mar 2016 to 19 Sep 2025)
    • (41)Responsible for Insurance Mediation (11 Jan 2016 to 30 Sep 2018)
    • (49)CF1 Director (3 Nov 2015 to 8 Dec 2019)
    • (47)CF3 Chief Executive (3 Nov 2015 to 8 Dec 2019)
    • (46)CF10 Compliance Oversight (3 Nov 2015 to 8 Dec 2019)
    • (45)CF30 Customer (3 Nov 2015 to 8 Dec 2019)
  • TAG Financial Planning Limited (no longer approved here)

    FRN 827617

    • (2)Employed By (14 Jan 2019 to 1 Jul 2025)
  • Watson Laird Limited (no longer approved here)

    FRN 538617

    • (2)Employed By (16 May 2018 to 1 Jul 2025)
  • Cutter & Co Financial Planning Ltd (no longer approved here)

    FRN 805876

    • Employed By (10 Apr 2018 to 1 Jul 2025)
  • Destination Financial Planning Limited (no longer approved here)

    FRN 705459

    • Employed By (2 Nov 2017 to 1 Jul 2025)
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Recent activity

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

  1. controlled function added: (8)Responsible for Insurance Distribution at Lee Strathy Limited

  2. controlled function added: (9)SMF16 Compliance Oversight at Lee Strathy Limited

  3. controlled function added: (10)SMF3 Executive Director at Lee Strathy Limited

  4. controlled function added: (11)SMF1 Chief Executive at Lee Strathy Limited

  5. controlled function added: (12)[FCA CF] Client dealing at Lee Strathy Limited

  6. controlled function added: (13)[FCA CF] Functions requiring qualifications at Lee Strathy Limited

  7. controlled function added: (13)Responsible for Insurance Distribution at Flowers McEwan Limited

  8. controlled function added: (14)SMF16 Compliance Oversight at Flowers McEwan Limited

  9. controlled function added: (15)SMF3 Executive Director at Flowers McEwan Limited

  10. controlled function added: (16)SMF1 Chief Executive at Flowers McEwan Limited

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