John Gerard Barker

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • WEST END FINANCIAL MANAGEMENT LIMITED

    FRN 807518

    • 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
    • [FCA CF] Manager of certification employee (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • 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 Nov 2018)
    • Director of firm who is not a certification employee or a SMF manager (4 Aug 2020 to 31 Mar 2021)
    • CF30 Customer (1 Nov 2018 to 8 Dec 2019)
    • CF1 Director (1 Nov 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2018 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF1 Director (AR) (31 Oct 2017 to 1 Nov 2018)
    • CF30 Customer (31 Oct 2017 to 1 Nov 2018)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (31 Oct 2017 to 1 Nov 2018)
  • West End Financial Management Limited (no longer approved here)

    FRN 792701

    • Employed By (31 Oct 2017 to 1 Nov 2018)

Recent activity

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

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