Ashley Brooks

Last updated
3 weeks ago
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Where they hold approval

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

  • D B Wood Limited

    FRN 209530

    • 14. Managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 27 Sep 2016)
    • CF1 Director (AR) (19 Aug 2024 to 27 Nov 2024)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 7 Apr 2026)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (29 May 2002 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 May 2002 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (29 May 2002 to 31 Mar 2009)
    • CF1 Director (29 May 2002 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (29 May 2002 to 31 Oct 2007)
    • CF21 Investment Adviser (29 May 2002 to 31 Oct 2007)
  • Andy Roe Financial Services (no longer approved here)

    FRN 990960

    • Employed By (19 Aug 2024 to 24 Mar 2025)

Recent activity

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

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