Lee Wallis

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Where they hold approval

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

Best Practice IFA Group Limited (no longer approved here)
FRN 223112
- [FCA CF] Client dealing (7 Jan 2025 to 16 May 2025)
- Appointed representative dealing with clients for which they require qualification (7 Jan 2025 to 16 May 2025)
- CF30 Customer (6 Jan 2025 to 16 May 2025)
- CF1 Director (AR) (6 Jan 2025 to 16 May 2025)
Character Financial Services Limited (no longer approved here)
FRN 1025010
- Employed By (6 Jan 2025 to 16 May 2025)
QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- CF1 Director (AR) (15 Nov 2016 to 4 Dec 2019)
Quilter Mortgage Planning Limited (no longer approved here)
FRN 440718
- CF1 Director (AR) (15 Nov 2016 to 4 Dec 2019)
CWM Financial Planning Ltd (no longer approved here)
FRN 762756
- Employed By (15 Nov 2016 to 8 Dec 2019)
Cobra Professional Partners Ltd (no longer approved here)
FRN 526023
- Employed By (25 Feb 2011 to 8 Dec 2019)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.