Lee Christopher Warman

Last updated
6 days ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Ascend Wealth Management Ltd

    FRN 948018

    • 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 18 Oct 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Oct 2021)
    • SMF3 Executive Director (since 18 Oct 2021)
    • [FCA CF] Client dealing (since 18 Oct 2021)
    • Responsibility for MCD Intermediation (18 Oct 2021 to 14 Aug 2023)
  • Attain Wealth Management Limited (no longer approved here)

    FRN 535786

    • [FCA CF] Client dealing (10 Dec 2019 to 15 Dec 2021)
    • [FCA CF] Functions requiring qualifications (10 Dec 2019 to 15 Dec 2021)
    • CF30 Customer (29 Sep 2017 to 8 Dec 2019)
  • DENTONS INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194538

    • CF30 Customer (8 Feb 2011 to 31 Oct 2011)
    • CF1 Director (AR) (8 Feb 2011 to 31 Oct 2011)

Recent activity

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

No changes recorded yet.