Stephen Ken Wah Lee

Last updated
2 weeks ago
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Where they hold approval

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

  • LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 119272

    • [FCA CF] Client dealing (5 Oct 2020 to 19 Nov 2024)
  • DWS Investments UK Limited (no longer approved here)

    FRN 429806

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2020)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2020)
    • CF30 Customer (18 Feb 2016 to 8 Dec 2019)
  • DWS Alternatives Global Limited (no longer approved here)

    FRN 458997

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2020)
    • CF30 Customer (5 Jun 2017 to 8 Dec 2019)
  • Aviva Investors Global Services Limited (no longer approved here)

    FRN 119178

    • CF30 Customer (1 Nov 2007 to 17 Nov 2015)
    • CF27 Investment Management (12 Aug 2004 to 31 Oct 2007)
  • UBS Asset Management (UK) Ltd (no longer approved here)

    FRN 119319

    • CF27 Investment Management (1 Dec 2001 to 30 Apr 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2004)

Recent activity

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

No changes recorded yet.