Stephen Lee

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Alpha Financial Management Limited

    FRN 214376

    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 16 Dec 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 29 Sep 2016)
    • CF10 Compliance Oversight (25 Feb 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (25 Feb 2014 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (15 Nov 2002 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (15 Nov 2002 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (15 Nov 2002 to 8 Dec 2019)
    • CF21 Investment Adviser (15 Nov 2002 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.