Joseph Duffy

Last updated
1 week ago
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Where they hold approval

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

  • Seven Investment Management LLP

    FRN 589124

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 17 Dec 2025)
    • Appointed representative dealing with clients for which they require qualification (since 1 Mar 2024)
    • [FCA CF] Client dealing (since 1 Mar 2024)
    • CF30 Customer (since 14 Nov 2023)
  • 7IM Investment and Retirement Solutions Limited

    FRN 787394

    • 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 1 Mar 2024)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (9 Dec 2019 to 29 Feb 2024)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 29 Feb 2024)

Recent activity

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

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