David Edward Ducker

Last updated
1 week ago
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Where they hold approval

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

  • DAVID DUCKER ASSOCIATES LIMITED

    FRN 462455

    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 11. Pension transfer specialist
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 20 Oct 2020)
    • [FCA CF] CASS oversight function (since 20 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 20 Oct 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (12 Mar 2007 to 31 Oct 2007)
    • CF1 Director (12 Mar 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Mar 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 Mar 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (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)
  • David Ducker Associates (no longer approved here)

    FRN 227663

    • Employed By (25 Apr 2006 to 11 Mar 2007)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF22 Investment Adviser (Trainee) (30 Nov 2005 to 9 May 2006)
  • Pension & Investment Advisers (no longer approved here)

    FRN 153060

    • (2)Employed By (22 Mar 1999 to 9 Sep 2003)

Recent activity

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

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