DAVID DUCKER ASSOCIATES LIMITED

Date authorised
1 April 2013
Companies House
05772114
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    David Ducker Ltd, Unit 30
    Eldon Road
    Beeston
    Nottingham
    NG9 6DZ
    UNITED KINGDOM
    Phone
    +4401159223816
    Web
    https://www.davidducker.co.uk

  • Complaints Contact

    30 Eldon Business Park
    Attenborough
    Nottingham
    Notts
    NG9 6DZ
    UNITED KINGDOM
    Phone
    +4401159223816

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Commercial, Retail (Investment), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Advice (no pensions)

    For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Setup

    For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Basic Pension Advice

    For Retail (Investment), Stakeholder products

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David Edward Ducker

    IRN DED00003

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • [FCA CF] Functions requiring qualifications (since 20 Oct 2020)
    • [FCA CF] CASS oversight function (since 20 Oct 2020)
    • [FCA CF] Client dealing (since 20 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Mar 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (12 Mar 2007 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (12 Mar 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (12 Mar 2007 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (12 Mar 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (12 Mar 2007 to 30 Sep 2018)
    • CF1 Director (12 Mar 2007 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.