Spencer Sidney Baum

Last updated
2 weeks ago
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Where they hold approval

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

  • SS&C Financial Services Europe Limited

    FRN 161227

    • SMF1 Chief Executive (since 1 Mar 2026)
    • SMF3 Executive Director (since 1 Mar 2026)
    • [FCA CF] Significant management (6 Jul 2020 to 1 Mar 2026)
  • Hubwise Securities Limited

    FRN 502619

    • SMF3 Executive Director (since 1 Sep 2025)
    • SMF1 Chief Executive (1 Sep 2025 to 1 Mar 2026)
    • [FCA CF] Significant management (14 May 2024 to 1 Sep 2025)
    • SMF3 Executive Director (29 Apr 2022 to 1 Dec 2022)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • [FCA CF] Material risk taker (9 May 2017 to 28 Jun 2020)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 28 Jun 2020)
    • [FCA CF] Client dealing (7 Mar 2016 to 28 Jun 2020)
    • CF30 Customer (19 Jun 2015 to 6 Mar 2016)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • [FCA CF] Material risk taker (9 May 2017 to 28 Jun 2020)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 28 Jun 2020)
    • [FCA CF] Client dealing (7 Mar 2016 to 28 Jun 2020)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (27 Dec 2006 to 31 Oct 2007)
  • Northern Trust Global Investments Limited (no longer approved here)

    FRN 191916

    • CF21 Investment Adviser (6 Feb 2002 to 22 Dec 2003)
  • The Northern Trust Company (no longer approved here)

    FRN 122020

    • CF21 Investment Adviser (1 Dec 2001 to 22 Dec 2003)

Recent activity

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

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