Richard Kevin William Lee

Watch for changes

Where they hold approval

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

Tavistock Private Client Limited
FRN 210782
- [FCA CF] Manager of certification employee (since 7 Jul 2023)
- [FCA CF] Client dealing (9 Dec 2020 to 20 Feb 2024)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Feb 2024)
Tees Financial Limited (no longer approved here)
FRN 211314
- CF30 Customer (12 Jun 2013 to 3 Jun 2016)
Clydesdale Bank Plc (no longer approved here)
FRN 121873
- CF30 Customer (21 Apr 2011 to 7 Jun 2013)
IWP Investment Management Limited (no longer approved here)
FRN 114563
- CF30 Customer (6 Jan 2011 to 18 Mar 2011)

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.