Barra James Gorman

Last updated
6 days ago
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Where they hold approval

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

  • Foursquare Financial Management Ltd

    FRN 952580

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Sep 2021)
    • SMF3 Executive Director (since 15 Sep 2021)
    • [FCA CF] Client dealing (since 15 Sep 2021)
    • [FCA CF] Functions requiring qualifications (since 15 Sep 2021)
    • Responsibility for MCD Intermediation (since 15 Sep 2021)
    • Responsible for Insurance Distribution (since 15 Sep 2021)
    • SMF16 Compliance Oversight (since 15 Sep 2021)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (13 May 2011 to 12 Aug 2015)

Recent activity

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

No changes recorded yet.