Thomas Baldwin

Last updated
3 weeks ago
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Where they hold approval

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

  • THE ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY

    FRN 114724

    • 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 26 May 2022)
  • Coutts & Company

    FRN 122287

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 26 May 2022)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • [FCA CF] Client dealing (23 Jan 2020 to 26 Oct 2021)
    • [FCA CF] Functions requiring qualifications (23 Jan 2020 to 26 Oct 2021)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (15 Jul 2013 to 6 Mar 2016)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (31 May 2011 to 16 May 2013)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (23 Sep 2009 to 15 Mar 2011)

Recent activity

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

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