Alexander Samuel Brooks

Watch for changes

Where they hold approval

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

Canaccord Genuity Limited
FRN 182011
- [FCA CF] Client dealing (since 9 Dec 2020)
- CF30 Customer (22 Oct 2013 to 8 Dec 2019)
J.P. Morgan Investment Management Inc (no longer approved here)
FRN 119267
- CF27 Investment Management (1 Dec 2001 to 14 Jun 2005)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF27 Investment Management (1 Dec 2001 to 14 Jun 2005)

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.