Barry Paul Browning

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.

  • BROWNING FINANCIAL LIMITED

    FRN 575242

    • 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)
    • Responsible for Insurance Mediation (31 Jan 2013 to 30 Sep 2018)
    • CF30 Customer (31 Jan 2013 to 8 Dec 2019)
    • CF1 Director (31 Jan 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (31 Jan 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (31 Jan 2013 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 7 Jun 2011)
    • CF21 Investment Adviser (11 Aug 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (30 Mar 2005 to 11 Aug 2005)

Recent activity

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

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