Duncan Prince

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.

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • Appointed representative dealing with clients for which they require qualification (since 15 Jul 2025)
    • CF1 Director (AR) (since 10 Dec 2024)
    • CF30 Customer (since 10 Dec 2024)
    • [FCA CF] Functions requiring qualifications (17 Feb 2021 to 15 Jul 2025)
    • [FCA CF] Client dealing (17 Feb 2021 to 15 Jul 2025)
  • Riverlight Financial Services Limited

    FRN 1021618

    • (1)Employed By (since 10 Dec 2024)
  • Julius Baer International Limited (no longer approved here)

    FRN 139179

    • CF30 Customer (20 Dec 2017 to 31 Oct 2019)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF21 Investment Adviser (1 Aug 2006 to 5 Oct 2007)
    • CF22 Investment Adviser (Trainee) (5 Jan 2006 to 1 Aug 2006)

Recent activity

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

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