Lee Thomas Axford

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.

  • OPUS Independent Financial Planning Limited

    FRN 529492

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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 7 Mar 2025)
    • [FCA CF] Client dealing (since 7 Mar 2025)
    • [FCA CF] Client dealing (7 Feb 2022 to 19 Apr 2022)
    • [FCA CF] Functions requiring qualifications (7 Feb 2022 to 19 Apr 2022)
    • SMF3 Executive Director (9 Dec 2019 to 31 May 2020)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 31 May 2020)
    • CF1 Director (10 Nov 2014 to 8 Dec 2019)
    • CF1 Director (AR) (20 Aug 2013 to 30 Nov 2016)
    • CF30 Customer (21 Dec 2010 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Functions requiring qualifications (14 Jun 2022 to 10 Apr 2024)
    • [FCA CF] Client dealing (14 Jun 2022 to 10 Apr 2024)
  • Jones Cooper Wealth Management Limited (no longer approved here)

    FRN 163575

    • Employed By (13 Apr 2015 to 1 Dec 2016)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (14 Apr 2009 to 10 Nov 2010)
  • Lee Axford (no longer approved here)

    FRN 490068

    • Employed By (14 Apr 2009 to 10 Nov 2010)

Recent activity

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

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