Lee Thompson

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.

  • HARVEST ASSOCIATES LIMITED

    FRN 629749

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • [FCA CF] Functions requiring qualifications (since 29 Jan 2024)
    • Appointed representative dealing with clients for which they require qualification (since 29 Jan 2024)
    • CF1 Director (AR) (since 21 Nov 2022)
    • CF30 Customer (since 21 Nov 2022)
  • Woodall Wealth Management Ltd

    FRN 987343

    • Employed By (since 21 Nov 2022)
  • KW Wealth Planning Limited (no longer approved here)

    FRN 114694

    • [FCA CF] Client dealing (9 Dec 2019 to 16 Sep 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Sep 2022)
    • CF30 Customer (20 Jul 2019 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF4 Partner (AR) (23 Jan 2013 to 30 Sep 2019)
    • CF30 Customer (22 Oct 2012 to 30 Sep 2019)
  • WFI Financial LLP (no longer approved here)

    FRN 587586

    • Employed By (22 Oct 2012 to 8 Dec 2019)
  • AFS Limited (no longer approved here)

    FRN 196880

    • CF21 Investment Adviser (15 Feb 2005 to 30 Nov 2006)
    • CF22 Investment Adviser (Trainee) (20 Apr 2004 to 15 Feb 2005)
  • Mitchells Financial Advisers Limited (no longer approved here)

    FRN 207726

    • (9)Employed By (20 Apr 2004 to 30 Nov 2006)
  • Victoria Court Financial Services Limited (no longer approved here)

    FRN 207748

    • (6)Employed By (20 Apr 2004 to 30 Nov 2006)

Recent activity

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

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