Duncan Ian Ellis

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.

  • Capital Financial Planning Limited

    FRN 510069

    • Employed By (since 1 Jun 2023)
    • Employed By (27 Oct 2009 to 4 Apr 2023)
  • QUILTER FINANCIAL SERVICES LIMITED

    FRN 440703

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Appointed representative dealing with clients for which they require qualification (since 2 Dec 2022)
    • CF30 Customer (since 14 Jul 2022)
    • CF1 Director (AR) (since 14 Jul 2022)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 7 Dec 2022)
    • CF30 Customer (1 Nov 2007 to 7 Dec 2022)
    • CF1 Director (AR) (29 Aug 2002 to 12 Oct 2005)
    • CF21 Investment Adviser (29 Aug 2002 to 12 Oct 2005)
  • Lighthouse IFA (Capital) Ltd (no longer approved here)

    FRN 217705

    • (2)Employed By (29 Aug 2002 to 12 Oct 2005)

Recent activity

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

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