Dean Richard Lee

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.

  • Harron Financial Limited

    FRN 630545

    • 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
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (17 Nov 2014 to 8 Dec 2019)
    • CF1 Director (17 Nov 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 Nov 2014 to 8 Dec 2019)
    • CF30 Customer (17 Nov 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (17 Nov 2014 to 30 Sep 2018)
  • Blowfish Financial Services Limited (no longer approved here)

    FRN 459256

    • CF30 Customer (1 Nov 2007 to 14 May 2010)
    • CF21 Investment Adviser (26 Mar 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (3 Jan 2007 to 26 Mar 2007)
  • Blowfish Financial Services Ltd (no longer approved here)

    FRN 433582

    • Employed By (2 Mar 2006 to 27 Dec 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 7 Apr 2006)

Recent activity

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

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