Brian Winston Dudley

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Prism EBC Limited

    FRN 630623

    • (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (4)[FCA CF] Functions requiring qualifications (since 3 Apr 2023)
    • (3)Appointed representative dealing with clients for which they require qualification (since 3 Apr 2023)
    • (13)[FCA CF] Client dealing (27 Jul 2020 to 3 Apr 2023)
    • (14)[FCA CF] Functions requiring qualifications (27 Jul 2020 to 3 Apr 2023)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (1 Nov 2007 to 22 Jan 2010)
    • CF21 Investment Adviser (27 May 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (18 Sep 2000 to 27 May 2002)
  • Lawrence Financial Services Limited (no longer approved here)

    FRN 118336

    • Employed By (1 Dec 2001 to 22 Jan 2010)

Recent activity

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

  1. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at Prism EBC Limited

  2. controlled function removed: Appointed representative dealing with clients for which they require qualification at Prism EBC Limited

  3. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at Prism EBC Limited

  4. controlled function removed: [FCA CF] Functions requiring qualifications at Prism EBC Limited

  5. controlled function added: (13)[FCA CF] Client dealing at Prism EBC Limited

  6. controlled function added: (14)[FCA CF] Functions requiring qualifications at Prism EBC Limited

  7. controlled function added: (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at Prism EBC Limited

  8. controlled function added: (2)4. Giving personal recommendations on retail investment products which are not broker funds at Prism EBC Limited

  9. controlled function added: (3)Appointed representative dealing with clients for which they require qualification at Prism EBC Limited

  10. controlled function added: (4)[FCA CF] Functions requiring qualifications at Prism EBC Limited