Alan Raymond Brooks

Watch for changes

Where they hold approval

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

Vantage Capital Markets LLP (no longer approved here)
FRN 416697
- CF30 Customer (14 Aug 2017 to 26 Sep 2017)
Linear Investments Limited (no longer approved here)
FRN 537389
- CF1 Director (AR) (21 Jul 2014 to 6 Jul 2015)
- CF30 Customer (21 Jul 2014 to 6 Jul 2015)
First Equity Limited (no longer approved here)
FRN 124394
- CF30 Customer (20 Nov 2012 to 14 Jan 2014)
ADM Investor Services International Limited (no longer approved here)
FRN 148474
- CF21 Investment Adviser (23 May 2005 to 19 Dec 2005)
Commerzbank AG (no longer approved here)
FRN 124920
- CF21 Investment Adviser (1 Dec 2001 to 22 Nov 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.