LEE WEALTH MANAGEMENT LIMITED

Date authorised
10 July 2013
Companies House
08327421
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    3A Blakeley Dell
    Raby Mere
    Wirral
    CH63 0NJ
    UNITED KINGDOM
    Phone
    +4407852878398

  • Complaints Contact

    3A Blakeley Dell
    Raby Mere
    Wirral
    CH63 0NJ
    UNITED KINGDOM
    Phone
    +4407852878398

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Pension Transfer Advice

    For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

    Show 1 limitation
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • John Christopher Lee

    IRN JCL01104

    • Responsible for Insurance Mediation (10 Jul 2013 to 15 Jun 2015)
    • CF1 Director (10 Jul 2013 to 1 Jul 2015)
    • CF11 Money Laundering Reporting (10 Jul 2013 to 15 Jun 2015)
    • CF10 Compliance Oversight (10 Jul 2013 to 15 Jun 2015)
    • CF30 Customer (10 Jul 2013 to 26 Jun 2015)
  • John Michael Lee

    IRN JML00029

    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Dec 2018)
    • Responsible for Insurance Mediation (26 Jun 2015 to 30 Sep 2018)
    • CF10 Compliance Oversight (9 Jun 2015 to 1 Dec 2018)
    • CF11 Money Laundering Reporting (9 Jun 2015 to 1 Dec 2018)
    • CF1 Director (10 Jul 2013 to 1 Dec 2018)
    • CF30 Customer (10 Jul 2013 to 8 Dec 2019)
  • Maria Lee

    IRN MXL02269

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (5 Jul 2018 to 8 Dec 2019)
    • CF30 Customer (24 May 2016 to 8 Dec 2019)
  • Stephen Lee

    IRN SXL02019

    • 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 9 Dec 2019)
    • 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)
    • Responsible for Insurance Distribution (since 1 Dec 2018)
    • CF11 Money Laundering Reporting (1 Dec 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2018 to 8 Dec 2019)
    • CF1 Director (3 Jun 2016 to 8 Dec 2019)
    • CF30 Customer (3 Jul 2015 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.