Graham Peters

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.

  • Stratton Wealth Management Limited

    FRN 845274

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Oct 2024)
    • [FCA CF] Client dealing (since 9 Oct 2024)
  • Prism EBC Limited

    FRN 630623

    • (5)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (6)4. Giving personal recommendations on retail investment products which are not broker funds
    • (8)[FCA CF] Client dealing (since 27 Jul 2020)
    • (9)[FCA CF] Functions requiring qualifications (since 27 Jul 2020)
    • (7)CF30 Customer (since 5 Jan 2015)
    • (25)Responsible for Insurance Distribution (1 Oct 2018 to 30 Oct 2018)
    • (27)CF11 Money Laundering Reporting (17 Jan 2018 to 30 Oct 2018)
    • (24)Responsibility for MCD Intermediation (21 Mar 2016 to 30 Oct 2018)
    • (29)CF1 Director (5 Jan 2015 to 20 Nov 2018)
    • (26)Responsible for Insurance Mediation (5 Jan 2015 to 30 Sep 2018)
    • (28)CF10 Compliance Oversight (5 Jan 2015 to 5 Dec 2017)

Recent activity

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

  1. controlled function removed: [FCA CF] Client dealing at Prism EBC Limited

  2. 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

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

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

  5. controlled function removed: CF30 Customer at Prism EBC Limited

  6. controlled function added: (24)Responsibility for MCD Intermediation at Prism EBC Limited

  7. controlled function added: (25)Responsible for Insurance Distribution at Prism EBC Limited

  8. controlled function added: (26)Responsible for Insurance Mediation at Prism EBC Limited

  9. controlled function added: (27)CF11 Money Laundering Reporting at Prism EBC Limited

  10. controlled function added: (28)CF10 Compliance Oversight at Prism EBC Limited

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