Warren Gary 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.

  • BARKER AND COMPANY FINANCIAL SERVICES LTD.

    FRN 719536

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 9A. Advising on P2P agreements
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • Responsible for Insurance Distribution (since 29 Jul 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 23 May 2016)
    • CF1 Director (1 Apr 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Apr 2016 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2016 to 13 May 2016)
  • CALPE FINANCIAL SOLUTIONS LIMITED (no longer approved here)

    FRN 440282

    • CF30 Customer (1 Nov 2007 to 31 Mar 2016)
    • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (3 Jan 2006 to 15 Mar 2016)
    • CF1 Director (3 Jan 2006 to 31 Mar 2016)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (24 Oct 2002 to 31 May 2003)
    • CF22 Investment Adviser (Trainee) (4 Feb 2002 to 24 Oct 2002)

Recent activity

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

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