John Barlow

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.

  • JB Financial Advice Ltd

    FRN 921503

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Significant management (since 13 Jul 2020)
    • [FCA CF] CASS oversight function (since 13 Jul 2020)
    • [FCA CF] Client dealing (since 13 Jul 2020)
    • [FCA CF] Functions requiring qualifications (since 13 Jul 2020)
    • Responsibility for MCD Intermediation (since 13 Jul 2020)
    • Responsible for Insurance Distribution (since 13 Jul 2020)
    • SMF16 Compliance Oversight (since 13 Jul 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Jul 2020)
    • SMF3 Executive Director (since 13 Jul 2020)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (14 Dec 2017 to 9 Jul 2020)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (29 Apr 2009 to 31 Jan 2010)
  • BA (GI) Limited (no longer approved here)

    FRN 117647

    • CF21 Investment Adviser (1 Dec 2001 to 1 Aug 2002)

Recent activity

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

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