Christopher Mark Lee

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.

  • Nicholls Stevens (Financial Services) Limited

    FRN 664926

    • 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)
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 30 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 30 Nov 2024)
  • Partridge Muir & Warren Limited (no longer approved here)

    FRN 148029

    • [FCA CF] Client dealing (5 Jul 2023 to 27 Sep 2023)
    • [FCA CF] Functions requiring qualifications (7 Mar 2023 to 27 Sep 2023)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (19 Sep 2018 to 20 Dec 2019)
  • Cambria Capital Limited (no longer approved here)

    FRN 764150

    • Employed By (19 Sep 2018 to 20 Dec 2019)
  • Numis Securities Limited (no longer approved here)

    FRN 144822

    • CF30 Customer (7 Feb 2014 to 9 Oct 2015)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (21 Feb 2011 to 31 Jan 2014)

Recent activity

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

No changes recorded yet.