Lee Anthony Roberts

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.

  • DOLPHIN WEALTH MANAGEMENT LIMITED

    FRN 488273

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (7 Oct 2008 to 8 Dec 2019)
    • CF1 Director (7 Oct 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Oct 2008 to 8 Dec 2019)
    • CF30 Customer (7 Oct 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (7 Oct 2008 to 31 Mar 2009)
    • Responsible for Insurance Mediation (7 Oct 2008 to 30 Sep 2018)
  • Burgess & Lee Limited (no longer approved here)

    FRN 160493

    • CF11 Money Laundering Reporting (30 Aug 2005 to 3 Sep 2007)
    • CF1 Director (29 Sep 2004 to 3 Sep 2007)
    • CF21 Investment Adviser (15 Dec 2003 to 3 Sep 2007)
  • Lewis & Co (Investments & Pensions) Limited (no longer approved here)

    FRN 143646

    • CF21 Investment Adviser (18 Dec 2002 to 21 Nov 2003)
  • Highcliffe Financial Management Limited (no longer approved here)

    FRN 114782

    • (16)Employed By (28 May 2002 to 7 Dec 2002)

Recent activity

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

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