Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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James Duggan
FRN 430698
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- Sole trader dealing with clients for which they require qualification (since 22 Sep 2023)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Sep 2023)
- CF30 Customer (1 Nov 2007 to 1 Jan 2013)
- CF11 Money Laundering Reporting (28 Mar 2007 to 13 Feb 2013)
- CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
- CF10 Compliance Oversight (1 Jun 2005 to 13 Feb 2013)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.