Roger 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.

  • Cavendish Capital Markets Limited

    FRN 467766

    • [FCA CF] Client dealing (since 6 Nov 2024)
  • Investec Bank PLC (no longer approved here)

    FRN 172330

    • [FCA CF] Manager of certification employee (15 Feb 2023 to 31 Jan 2024)
    • [FCA CF] Client dealing (6 Mar 2018 to 31 Jan 2024)
    • CF30 Customer (2 Sep 2015 to 6 Mar 2016)
  • Macquarie Capital (Europe) Limited (no longer approved here)

    FRN 193905

    • CF30 Customer (19 Aug 2013 to 5 Jul 2015)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF30 Customer (1 Nov 2007 to 4 Sep 2012)
    • CF21 Investment Adviser (25 Sep 2007 to 31 Oct 2007)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF21 Investment Adviser (19 Sep 2002 to 21 Sep 2007)
    • CF22 Investment Adviser (Trainee) (18 Jul 2002 to 19 Sep 2002)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • CF21 Investment Adviser (19 Sep 2002 to 8 Aug 2005)
    • CF22 Investment Adviser (Trainee) (18 Jul 2002 to 19 Sep 2002)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF21 Investment Adviser (19 Sep 2002 to 21 Sep 2007)
    • CF22 Investment Adviser (Trainee) (18 Jul 2002 to 19 Sep 2002)

Recent activity

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

No changes recorded yet.