Laura Duffield

Watch for changes

Where they hold approval

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

Laura Duffield
FRN 1006992
- (1)Employed By (since 10 Dec 2023)
St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- Appointed representative dealing with clients for which they require qualification (since 19 Dec 2019)
- CF30 Customer (since 13 Nov 2019)
Lawrence Neil Wealth Management Ltd (no longer approved here)
FRN 942063
- Employed By (31 Dec 2020 to 19 Feb 2024)
Bowcliffe Wealth Management Ltd (no longer approved here)
FRN 516689
- Employed By (13 Nov 2019 to 18 Dec 2019)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.