Richard Lee-Warder

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Where they hold approval

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

St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (1 Nov 2007 to 6 Jan 2012)
- CF21 Investment Adviser (9 Feb 2004 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (3 Dec 2002 to 3 Dec 2002)
The Whitechurch Network Limited (no longer approved here)
FRN 190859
- CF7 Sole Trader (AR) (4 Feb 2003 to 1 Aug 2003)
- CF21 Investment Adviser (4 Feb 2003 to 1 Aug 2003)
ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)
FRN 122472
- CF22 Investment Adviser (Trainee) (3 Dec 2002 to 3 Jun 2003)
ST. JAMES'S PLACE UK PLC (no longer approved here)
FRN 150026
- CF22 Investment Adviser (Trainee) (3 Dec 2002 to 3 Jun 2003)
Independent Review Services Ltd (no longer approved here)
FRN 184094
- (1)Employed By (1 Oct 1998 to 7 Aug 2003)

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.