John Christopher 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.

  • Lee Financial Planning Limited

    FRN 647006

    • 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)
    • [FCA CF] Functions requiring qualifications (since 12 Nov 2020)
    • [FCA CF] Client dealing (since 12 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (7 Apr 2015 to 30 Sep 2018)
    • CF1 Director (7 Apr 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Apr 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Apr 2015 to 8 Dec 2019)
    • CF30 Customer (7 Apr 2015 to 8 Dec 2019)
  • LEE WEALTH MANAGEMENT LIMITED (no longer approved here)

    FRN 596277

    • CF11 Money Laundering Reporting (10 Jul 2013 to 15 Jun 2015)
    • CF30 Customer (10 Jul 2013 to 26 Jun 2015)
    • Responsible for Insurance Mediation (10 Jul 2013 to 15 Jun 2015)
    • CF10 Compliance Oversight (10 Jul 2013 to 15 Jun 2015)
    • CF1 Director (10 Jul 2013 to 1 Jul 2015)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (2 Jun 2009 to 27 Jun 2013)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (670)Employed By (2 Jun 2009 to 27 Jun 2013)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 20 Apr 2009)
    • CF21 Investment Adviser (22 May 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (20 Mar 2006 to 22 May 2007)
  • The Mark Jennings Partnership (MJP) LLP (no longer approved here)

    FRN 401715

    • (7)Employed By (20 Mar 2006 to 20 Apr 2009)

Recent activity

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

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