Lee Darren Williams

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.

  • AFL WEALTH MANAGEMENT LIMITED

    FRN 518701

    • 14. Managing investments
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 19 Oct 2016)
    • CF11 Money Laundering Reporting (1 Jul 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jul 2010 to 30 Sep 2018)
    • CF30 Customer (1 Jul 2010 to 8 Dec 2019)
    • CF1 Director (1 Jul 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2010 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (7 Jan 2014 to 2 Mar 2016)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 24 Sep 2010)
    • CF21 Investment Adviser (13 Jul 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (2 Feb 2006 to 13 Jul 2006)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF1 Director (AR) (26 Mar 2004 to 31 Oct 2004)
    • CF21 Investment Adviser (27 Aug 2003 to 31 Oct 2004)
    • CF7 Sole Trader (AR) (26 Nov 2002 to 26 Mar 2004)
    • CF22 Investment Adviser (Trainee) (26 Nov 2002 to 27 Aug 2003)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF1 Director (AR) (26 Mar 2004 to 10 May 2007)
    • CF21 Investment Adviser (27 Aug 2003 to 7 Feb 2006)
    • CF7 Sole Trader (AR) (26 Nov 2002 to 26 Mar 2004)
    • CF22 Investment Adviser (Trainee) (26 Nov 2002 to 27 Aug 2003)
  • Advice for Life Services Limited (no longer approved here)

    FRN 220801

    • Employed By (26 Nov 2002 to 10 May 2007)
  • Advice for Life (no longer approved here)

    FRN 184608

    • Employed By (17 Apr 2002 to 5 Aug 2002)

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