Marcus Eric Lee warburton

Last updated
1 week ago
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Where they hold approval

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

  • Financial Private Clients Limited

    FRN 649186

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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 17 Oct 2024)
    • [FCA CF] Client dealing (since 17 Oct 2024)
  • Leo Alexander Wealth & Financial Management Limited

    FRN 624042

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Jun 2023)
    • SMF16 Compliance Oversight (since 16 Jun 2023)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 6 Jul 2021)
    • CF1 Director (13 Feb 2015 to 8 Dec 2019)
    • CF30 Customer (13 Feb 2015 to 8 Dec 2019)
    • CF3 Chief Executive (13 Feb 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (13 Feb 2015 to 30 Sep 2018)
  • IM ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 402770

    • CF30 Customer (1 Nov 2007 to 8 May 2009)
    • CF27 Investment Management (6 Dec 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (6 Dec 2004 to 31 Oct 2007)

Recent activity

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

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