Katy Margaret Baxter

Last updated
6 days ago
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Where they hold approval

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

  • Montgomery Estate Planning Limited

    FRN 944236

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Manager of certification employee (since 1 Jul 2021)
    • Responsible for Insurance Distribution (since 1 Jul 2021)
    • SMF16 Compliance Oversight (since 1 Jul 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Jul 2021)
    • SMF3 Executive Director (since 1 Jul 2021)
    • [FCA CF] Client dealing (since 1 Jul 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2021)
  • Baxter Financial Limited (no longer approved here)

    FRN 828361

    • Employed By (9 Jan 2019 to 17 Jul 2020)
  • EVOLUTION WEALTH NETWORK LIMITED (no longer approved here)

    FRN 591218

    • CF1 Director (AR) (29 Mar 2017 to 21 Sep 2017)
  • Baxter & Lindley Client Solutions Limited (no longer approved here)

    FRN 773309

    • Employed By (29 Mar 2017 to 21 Sep 2017)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (2 Feb 2016 to 17 Jul 2020)
    • CF1 Director (AR) (2 Feb 2016 to 17 Jul 2020)
  • Baxter Financial Limited (no longer approved here)

    FRN 732366

    • Employed By (2 Feb 2016 to 17 Jul 2020)

Recent activity

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

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