Stephen William Baxter

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.

  • 3SIXTY FINANCIAL LIMITED

    FRN 714320

    • 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 4 Nov 2020)
    • [FCA CF] Client dealing (since 4 Nov 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Significant management (4 Nov 2020 to 1 Feb 2022)
    • CF1 Director (29 May 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (29 May 2018 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (17 Dec 2015 to 8 Dec 2019)
    • CF30 Customer (17 Dec 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 Dec 2015 to 8 Dec 2019)
  • 3 Sixty Financial Limited (no longer approved here)

    FRN 186435

    • Employed By (14 Aug 2003 to 8 Mar 2004)
  • HFS Milbourne Financial Services Limited (no longer approved here)

    FRN 125051

    • CF23 Corporate Finance Adviser (7 Jan 2003 to 12 Sep 2003)
    • CF21 Investment Adviser (7 Jan 2003 to 12 Sep 2003)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Nov 2002 to 6 Dec 2002)
    • CF22 Investment Adviser (Trainee) (10 Jun 2002 to 1 Nov 2002)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Nov 2002 to 6 Dec 2002)
    • CF22 Investment Adviser (Trainee) (10 Jun 2002 to 1 Nov 2002)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF22 Investment Adviser (Trainee) (1 Nov 2002 to 1 Nov 2002)
    • CF21 Investment Adviser (1 Nov 2002 to 6 Dec 2002)

Recent activity

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

No changes recorded yet.