Ian Anthony Duffy

Last updated
3 weeks ago
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Where they hold approval

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

  • Ainsworths Financial Services Limited

    FRN 192807

    • 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 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (1 Oct 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Oct 2013 to 30 Sep 2018)
    • CF30 Customer (9 Sep 2011 to 8 Dec 2019)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Dec 2010 to 14 Sep 2011)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (654)Employed By (1 Dec 2010 to 14 Sep 2011)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (1 Nov 2007 to 2 Jan 2009)
    • CF22 Investment Adviser (Trainee) (4 Jul 2007 to 31 Oct 2007)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (23 Feb 2006 to 17 Jul 2006)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (12 Apr 2005 to 21 Nov 2005)
    • CF22 Investment Adviser (Trainee) (4 Jan 2002 to 5 Jun 2003)

Recent activity

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

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