Terry Charles Weston

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.

  • Prism EBC Limited

    FRN 630623

    • (10)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (11)4. Giving personal recommendations on retail investment products which are not broker funds
    • (20)[FCA CF] Manager of certification employee (since 2 Mar 2021)
    • (21)[FCA CF] Functions requiring qualifications (since 2 Mar 2021)
    • (17)Appointed representative dealing with clients for which they require qualification (since 2 Mar 2021)
    • (19)[FCA CF] Client dealing (since 2 Mar 2021)
    • (12)Responsible for Insurance Distribution (since 5 May 2020)
    • (13)SMF17 Money Laundering Reporting Officer (MLRO) (since 5 May 2020)
    • (14)SMF16 Compliance Oversight (since 5 May 2020)
    • (15)SMF3 Executive Director (since 9 Dec 2019)
    • (18)CF1 Director (AR) (since 22 Jun 2016)
    • (16)CF30 Customer (since 16 May 2016)
    • (21)Responsibility for MCD Intermediation (5 May 2020 to 13 Feb 2025)
    • (22)CF1 Director (17 Dec 2018 to 8 Dec 2019)
  • Stratton Wealth Management Limited (no longer approved here)

    FRN 845274

    • [FCA CF] Client dealing (16 Mar 2021 to 1 Apr 2026)
    • [FCA CF] Functions requiring qualifications (16 Mar 2021 to 1 Apr 2026)

Recent activity

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

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

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

  3. controlled function added: (21)Responsibility for MCD Intermediation at Prism EBC Limited

  4. controlled function added: (22)CF1 Director at Prism EBC Limited

  5. controlled function added: (10)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

  6. controlled function added: (11)4. Giving personal recommendations on retail investment products which are not broker funds at Prism EBC Limited

  7. controlled function added: (12)Responsible for Insurance Distribution at Prism EBC Limited

  8. controlled function added: (13)SMF17 Money Laundering Reporting Officer (MLRO) at Prism EBC Limited

  9. controlled function added: (14)SMF16 Compliance Oversight at Prism EBC Limited

  10. controlled function added: (15)SMF3 Executive Director at Prism EBC Limited

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