Terence Paul O'Brien

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Where they hold approval

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

St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF21 Investment Adviser (22 Aug 2005 to 29 Nov 2006)
- CF22 Investment Adviser (Trainee) (25 Jun 2004 to 22 Aug 2005)
- CF7 Sole Trader (AR) (25 Jun 2004 to 28 Oct 2005)
Heritage Financial Services (no longer approved here)
FRN 401405
- (1)Employed By (25 Jun 2004 to 29 Nov 2006)
Heritage Independent Financial Services Ltd (no longer approved here)
FRN 194568
- (1)Employed By (9 Dec 1999 to 29 May 2004)

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.