Duncan Pluck

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.

  • ADMS Asset Management Limited

    FRN 569871

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 6 May 2025)
    • [FCA CF] Client dealing (since 6 May 2025)
  • Insight Financial Associates Limited

    FRN 458421

    • 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)
    • [FCA CF] Client dealing (since 15 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 15 Jan 2021)
  • Penvest Limited

    FRN 407889

    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (13 Aug 2015 to 8 Dec 2019)
  • D B Financial Management Limited

    FRN 522214

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • ROBERT GERRARD & WESTBROOK LIMITED (no longer approved here)

    FRN 188640

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Jan 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 19 Jan 2026)
    • CF30 Customer (26 Oct 2015 to 8 Dec 2019)
  • Redwood Insurance Brokers Limited (no longer approved here)

    FRN 306450

    • CF30 Customer (9 Jul 2014 to 10 Nov 2014)
  • A & J WEALTH MANAGEMENT LIMITED (no longer approved here)

    FRN 428590

    • CF30 Customer (24 Mar 2011 to 10 Nov 2014)

Recent activity

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

No changes recorded yet.