Lee Maddock

Last updated
1 week ago
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Where they hold approval

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

  • Hewitt Card (Financial Planning) Ltd

    FRN 228522

    • Responsible for Insurance Distribution (since 9 Jun 2023)
    • SMF16 Compliance Oversight (since 9 Jun 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Jun 2023)
    • SMF3 Executive Director (since 9 Jun 2023)
    • CF1 Director (AR) (30 Sep 2014 to 15 May 2019)
    • CF30 Customer (1 Oct 2012 to 8 Dec 2019)
  • Millbank Financial Solutions Limited

    FRN 833119

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 31 Mar 2021)
    • [FCA CF] Client dealing (since 31 Mar 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 10 Jul 2019)
    • CF11 Money Laundering Reporting (10 Jul 2019 to 8 Dec 2019)
    • CF30 Customer (10 Jul 2019 to 8 Dec 2019)
    • CF1 Director (10 Jul 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (10 Jul 2019 to 8 Dec 2019)
  • Aaron Tawny Mortgages Limited (no longer approved here)

    FRN 301672

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Jan 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 16 Jan 2023)
    • CF30 Customer (19 May 2016 to 8 Dec 2019)
  • Glenrose Investment Ltd (no longer approved here)

    FRN 150740

    • (6)Employed By (18 Jun 2009 to 22 Jul 2013)

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