Wayne Baber

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.

  • Ledingham Chalmers Financial Limited

    FRN 196274

    • 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
    • SMF16 Compliance Oversight (since 27 May 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 May 2022)
    • Responsibility for MCD Intermediation (since 27 May 2022)
    • Responsible for Insurance Distribution (since 27 May 2022)
    • SMF3 Executive Director (since 27 May 2022)
    • [FCA CF] Client dealing (since 1 Jun 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Jun 2021)
  • J M Taylor Financial Services Limited (no longer approved here)

    FRN 497519

    • CF1 Director (4 Sep 2015 to 30 Sep 2015)
    • CF30 Customer (6 Aug 2009 to 30 Sep 2015)
  • James & George Collie Financial Management Limited (no longer approved here)

    FRN 535320

    • (7)Employed By (10 Nov 2010 to 30 Sep 2015)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (17 Dec 2003 to 30 Jan 2004)
    • CF22 Investment Adviser (Trainee) (9 Jul 2003 to 17 Dec 2003)

Recent activity

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

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