Barrie Rees

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.

  • BARRIE FINANCIAL SERVICES LIMITED

    FRN 431356

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Functions requiring qualifications (since 26 Feb 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (5 Oct 2005 to 31 Oct 2007)
    • CF1 Director (5 Oct 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Oct 2005 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Oct 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (5 Oct 2005 to 31 Mar 2009)
    • Responsible for Insurance Mediation (5 Oct 2005 to 30 Sep 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF21 Investment Adviser (20 May 2002 to 15 Dec 2005)
    • CF22 Investment Adviser (Trainee) (4 Feb 2002 to 20 May 2002)

Recent activity

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

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