Barry John Willis

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.

  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • Responsible for Insurance Distribution (22 Dec 2022 to 15 Feb 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (22 Dec 2022 to 15 Feb 2023)
    • Responsibility for MCD Intermediation (22 Dec 2022 to 15 Feb 2023)
    • [FCA CF] Client dealing (13 Aug 2021 to 22 May 2023)
    • [FCA CF] Manager of certification employee (13 Aug 2021 to 27 Jun 2025)
    • [FCA CF] Material risk taker (13 Aug 2021 to 27 Jun 2025)
    • [FCA CF] Functions requiring qualifications (13 Aug 2021 to 22 May 2023)
    • SMF16 Compliance Oversight (6 Feb 2020 to 13 Aug 2021)
    • CF30 Customer (4 Jul 2011 to 8 Dec 2019)
  • MULBERRY INDEPENDENT FINANCIAL ADVISERS LIMITED (no longer approved here)

    FRN 459871

    • Responsibility for MCD Intermediation (22 Dec 2022 to 15 Feb 2023)
    • Responsible for Insurance Distribution (22 Dec 2022 to 15 Feb 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (22 Dec 2022 to 15 Feb 2023)
    • SMF16 Compliance Oversight (22 Dec 2022 to 15 Feb 2023)
  • St Johns Asset Management Limited (no longer approved here)

    FRN 441074

    • SMF16 Compliance Oversight (6 Feb 2020 to 13 Aug 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (6 Feb 2020 to 13 Aug 2021)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (14 Sep 2010 to 1 Jul 2011)
  • Barry Willis (no longer approved here)

    FRN 531326

    • Employed By (14 Sep 2010 to 1 Jul 2011)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (9 May 2002 to 23 Sep 2002)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 9 May 2002)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (9 May 2002 to 23 Sep 2002)
  • Passward Financial Planning (no longer approved here)

    FRN 193979

    • Employed By (5 Sep 2001 to 4 Oct 2002)

Recent activity

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

No changes recorded yet.