Nicola Barker

Last updated
3 weeks ago
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Where they hold approval

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

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 1 Jul 2025)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 4 Mar 2021)
    • CF30 Customer (1 Nov 2017 to 8 Dec 2019)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (24 Apr 2003 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (17 Aug 2002 to 24 Apr 2003)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (24 Apr 2003 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (17 Aug 2002 to 24 Apr 2003)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 13 Aug 2002)

Recent activity

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

No changes recorded yet.