Keith Alexander Baggette

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.

  • Baggette & Company Wealth Management Limited

    FRN 522193

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 6 Apr 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 6 Apr 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 6 Apr 2023)
    • [FCA CF] Significant management (9 Dec 2019 to 2 Jun 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 6 Apr 2023)
    • Responsibility for MCD Intermediation (29 Apr 2016 to 6 Apr 2023)
    • CF11 Money Laundering Reporting (2 Nov 2011 to 21 Oct 2015)
    • CF10 Compliance Oversight (2 Nov 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (16 Aug 2010 to 30 Sep 2018)
    • CF1 Director (16 Aug 2010 to 8 Dec 2019)
    • CF30 Customer (16 Aug 2010 to 8 Dec 2019)
  • Citizens Advice Bournemouth Christchurch & Poole (no longer approved here)

    FRN 617515

    • Director of firm who is not a certification employee or a SMF manager (24 Mar 2021 to 7 Apr 2021)
  • Titan Investment Solutions Limited (no longer approved here)

    FRN 781720

    • [FCA CF] Significant management (12 Dec 2019 to 6 Oct 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 6 Oct 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Sep 2020)
    • SMF3 Executive Director (9 Dec 2019 to 6 Oct 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 6 Oct 2022)
    • CF1 Director (1 Feb 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Feb 2018 to 8 Dec 2019)
    • CF30 Customer (1 Feb 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Feb 2018 to 8 Dec 2019)
  • Baggette & Company (no longer approved here)

    FRN 407700

    • Employed By (1 Oct 2004 to 24 Apr 2006)

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