Lee William Ellis

Watch for changes

Where they hold approval

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

BTG PACTUAL (UK) LIMITED
FRN 830774
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (18 Jul 2019 to 8 Dec 2019)
Prism Financial Products LP (no longer approved here)
FRN 782608
- (6)Employed By (7 Nov 2018 to 17 Jun 2019)
Prism Financial Products LLP (no longer approved here)
FRN 607481
- CF30 Customer (21 Sep 2018 to 17 Jun 2019)
Millennium Capital Partners LLP (no longer approved here)
FRN 439327
- CF30 Customer (21 Jun 2016 to 1 Mar 2017)

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.