James Gordon Bareham

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.

  • Bareham Independent Financial Advisers Limited

    FRN 939595

    • 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
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 May 2024)
    • Responsible for Insurance Distribution (since 13 May 2024)
    • [FCA CF] Functions requiring qualifications (since 23 Apr 2021)
    • SMF16 Compliance Oversight (since 23 Apr 2021)
    • SMF3 Executive Director (since 23 Apr 2021)
    • [FCA CF] Client dealing (since 23 Apr 2021)
  • VISION INDEPENDENT FINANCIAL ADVISORS LTD (no longer approved here)

    FRN 551169

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jul 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Jul 2021)
    • CF30 Customer (26 May 2015 to 8 Dec 2019)

Recent activity

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

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