Lee Roger Waters

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.

  • Barwells Independent Financial Management Limited

    FRN 588626

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 18 Oct 2024)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 28 Oct 2016)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 18 Oct 2024)
    • Responsible for Insurance Mediation (7 Aug 2014 to 30 Sep 2018)
    • CF1 Director (4 Jul 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Jul 2014 to 8 Dec 2019)
    • CF3 Chief Executive (4 Jul 2014 to 8 Dec 2019)
    • CF30 Customer (5 Jun 2013 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (17 Jun 2008 to 8 Sep 2009)

Recent activity

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

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