Simon David Baldwin

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc
FRN 195351
- 7. Giving personal recommendations on long-term care insurance contracts
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF1 Director (AR) (since 1 Nov 2013)
- CF30 Customer (since 1 Nov 2013)
High House Wealth Management Ltd
FRN 607211
- (1)Employed By (since 1 Nov 2013)
AFH Independent Financial Services Limited (no longer approved here)
FRN 216704
- CF30 Customer (28 Nov 2011 to 20 Jun 2013)
Park Row Associates (k508) (no longer approved here)
FRN 190108
- (239)Employed By (29 Jan 2003 to 14 Apr 2003)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF21 Investment Adviser (1 Dec 2001 to 24 Sep 2002)

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.