Lee David Ballard

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.

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 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
    • Appointed representative dealing with clients for which they require qualification (since 14 Nov 2023)
    • CF30 Customer (since 23 Oct 2023)
  • Lee Ballard

    FRN 1003822

    • Employed By (since 23 Oct 2023)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Client dealing (3 Dec 2021 to 10 Nov 2023)
    • [FCA CF] Functions requiring qualifications (3 Dec 2021 to 10 Nov 2023)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2020 to 10 Dec 2021)
    • CF30 Customer (7 Dec 2020 to 10 Dec 2021)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 10 Dec 2021)

Recent activity

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

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