Stephen Baker

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.

  • Ascot Lloyd Limited

    FRN 578614

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 18 Jul 2022)
    • [FCA CF] Client dealing (since 18 Jul 2022)
  • Oracle Consultants Ltd

    FRN 618258

    • 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 27 Jan 2020)
  • Financial Advice Centre Limited (no longer approved here)

    FRN 413317

    • [FCA CF] Client dealing (9 Oct 2020 to 15 Jul 2022)
    • [FCA CF] Functions requiring qualifications (9 Oct 2020 to 15 Jul 2022)
  • PROSPERITY IFA LIMITED (no longer approved here)

    FRN 772483

    • CF30 Customer (13 Apr 2017 to 20 Jul 2018)
  • JPM Insurance Advisers Limited (no longer approved here)

    FRN 445837

    • CF30 Customer (1 Nov 2007 to 21 Dec 2007)
    • CF22 Investment Adviser (Trainee) (5 May 2006 to 31 Oct 2007)

Recent activity

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

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