Paul Michael Barker

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.

  • Barker Sutcliffe and Associates Ltd

    FRN 502830

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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] Functions requiring qualifications (since 19 May 2020)
    • [FCA CF] Client dealing (since 19 May 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (AR) (since 25 Jun 2019)
    • CF30 Customer (since 13 Aug 2009)
    • CF10 Compliance Oversight (13 Aug 2009 to 25 Nov 2019)
    • CF1 Director (13 Aug 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Aug 2009 to 8 Dec 2019)
  • Wakefield Financial Services Limited (no longer approved here)

    FRN 520967

    • Employed By (25 Jun 2019 to 27 Aug 2024)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Nov 2007 to 24 Oct 2009)
    • CF21 Investment Adviser (9 Sep 2003 to 31 Oct 2007)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (609)Employed By (9 Sep 2003 to 24 Oct 2009)

Recent activity

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

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