Lee Barry Gardner

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.

  • Gardner Financial Management Ltd

    FRN 732088

    • (11)2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • (9)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (8)12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • (7)17. Administrative functions in relation to managing investments
    • (6)18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • (5)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (4)21. Advising or arranging (bringing about) equity release transactions
    • (10)4. Giving personal recommendations on retail investment products which are not broker funds
    • (15)[FCA CF] Client dealing (since 1 Jan 2021)
    • (16)[FCA CF] Functions requiring qualifications (since 1 Jan 2021)
    • (13)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (14)SMF3 Executive Director (since 9 Dec 2019)
    • (12)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (2)Responsible for Insurance Mediation (6 Jun 2016 to 30 Sep 2018)
    • (5)CF1 Director (6 Jun 2016 to 8 Dec 2019)
    • (4)CF11 Money Laundering Reporting (6 Jun 2016 to 8 Dec 2019)
    • (3)CF30 Customer (6 Jun 2016 to 8 Dec 2019)
  • Select Mortgages UK Limited (no longer approved here)

    FRN 571378

    • CF1 Director (AR) (15 Jul 2014 to 6 Jun 2016)
    • CF30 Customer (20 May 2014 to 6 Jun 2016)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • CF1 Director (AR) (20 Nov 2012 to 12 Aug 2014)
    • CF30 Customer (14 Nov 2012 to 12 Aug 2014)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF1 Director (AR) (9 Nov 2012 to 28 Nov 2014)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (1 Nov 2007 to 30 Nov 2012)
    • CF1 Director (AR) (5 Apr 2005 to 17 Dec 2012)
    • CF22 Investment Adviser (Trainee) (8 Dec 2004 to 31 Oct 2007)
  • Gardner Independent Limited (no longer approved here)

    FRN 409594

    • (3)Employed By (8 Dec 2004 to 12 Aug 2014)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF21 Investment Adviser (4 Oct 2004 to 15 Dec 2004)
    • CF22 Investment Adviser (Trainee) (23 Oct 2003 to 4 Oct 2004)

Recent activity

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

  1. controlled function removed: Responsible for Insurance Distribution at Gardner Financial Management Ltd

  2. controlled function removed: 21. Advising or arranging (bringing about) equity release transactions at Gardner Financial Management Ltd

  3. controlled function removed: 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at Gardner Financial Management Ltd

  4. controlled function removed: SMF3 Executive Director at Gardner Financial Management Ltd

  5. controlled function removed: 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds at Gardner Financial Management Ltd

  6. controlled function removed: 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds at Gardner Financial Management Ltd

  7. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at Gardner Financial Management Ltd

  8. controlled function removed: [FCA CF] Functions requiring qualifications at Gardner Financial Management Ltd

  9. controlled function removed: 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies at Gardner Financial Management Ltd

  10. controlled function removed: 17. Administrative functions in relation to managing investments at Gardner Financial Management Ltd

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