Nicholas Lee

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Walker Crips Financial Planning Limited

    FRN 114778

    • 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] Client dealing (since 27 May 2021)
    • [FCA CF] Functions requiring qualifications (since 27 May 2021)
    • [FCA CF] Manager of certification employee (since 27 May 2021)
  • Argentis Financial Planning Ltd (no longer approved here)

    FRN 624277

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 21 May 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 21 May 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 May 2021)
  • Grant Thornton UK LLP (no longer approved here)

    FRN 231791

    • CF30 Customer (1 Nov 2007 to 26 Jun 2017)
    • CF21 Investment Adviser (1 Jul 2004 to 31 Oct 2007)
    • CF26 Customer Trading (1 Jul 2004 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.