Richard John Baxter

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Where they hold approval

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

PERSPECTIVE (SOUTH EAST) LIMITED (no longer approved here)
FRN 178690
- CF30 Customer (23 Jul 2008 to 13 Feb 2009)
Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- CF22 Investment Adviser (Trainee) (19 Jun 2003 to 7 Feb 2005)
Lighthouse Financial Advice Limited (no longer approved here)
FRN 225502
- (149)Employed By (19 Jun 2003 to 7 Feb 2005)

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.