Gary John Lea

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.

  • STONEWATER WEALTH MANAGEMENT LIMITED

    FRN 492124

    • 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)
    • Responsible for Insurance Distribution (1 Oct 2018 to 23 Oct 2019)
    • CF11 Money Laundering Reporting (9 Jan 2009 to 23 Oct 2019)
    • CF1 Director (9 Jan 2009 to 8 Dec 2019)
    • CF30 Customer (9 Jan 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (9 Jan 2009 to 30 Sep 2018)
  • DAVID ROBERTS & PARTNERS (INSURANCE BROKERS) LIMITED (no longer approved here)

    FRN 143840

    • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
    • CF21 Investment Adviser (14 Mar 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (9 Jun 2003 to 14 Mar 2005)

Recent activity

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

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