Richard Michael 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.

  • Wells Fargo Securities International Limited (no longer approved here)

    FRN 186745

    • [FCA CF] Material risk taker (23 Aug 2022 to 29 Apr 2024)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 29 Apr 2024)
    • [FCA CF] Significant management (9 Dec 2019 to 29 Apr 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 29 Apr 2024)
    • CF29 Significant management (13 Feb 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (23 Jun 2003 to 31 Oct 2007)
  • Wells Fargo Bank, National Association (no longer approved here)

    FRN 456183

    • [FCA CF] Significant management (1 Mar 2018 to 29 Apr 2024)
    • [FCA CF] Client dealing (1 Mar 2018 to 29 Apr 2024)
    • [FCA CF] Manager of certification employee (1 Mar 2018 to 29 Apr 2024)
    • SMF22 Other Local Responsibility (7 Mar 2016 to 20 Feb 2018)
    • CF29 Significant management (20 Mar 2010 to 6 Mar 2016)
    • CF30 Customer (20 Mar 2010 to 6 Mar 2016)

Recent activity

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

No changes recorded yet.