Karen 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.

  • WESLEYAN FINANCIAL SERVICES LIMITED

    FRN 134753

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 10 Aug 2023)
    • [FCA CF] Functions requiring qualifications (since 10 Aug 2023)
  • WREN STERLING FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 665653

    • [FCA CF] Functions requiring qualifications (13 Dec 2022 to 27 Mar 2023)
    • [FCA CF] Client dealing (13 Dec 2022 to 27 Mar 2023)
  • Mortgage Advice Bureau Limited (no longer approved here)

    FRN 455545

    • Appointed representative dealing with clients for which they require qualification (12 Apr 2021 to 6 Jul 2022)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [FCA CF] Functions requiring qualifications (1 Jul 2018 to 28 Mar 2021)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Functions requiring qualifications (16 Jan 2018 to 1 Jul 2018)

Recent activity

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

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