Carolyn Sue Amy-Brooks

Watch for changes

Where they hold approval

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

Brooks Financial Planning Limited
FRN 830139
- Employed By (since 16 Feb 2019)
St. James's Place Wealth Management Plc
FRN 195351
- CF1 Director (AR) (since 20 Sep 2010)
Brooks Financial Planning Ltd (no longer approved here)
FRN 493017
- Employed By (20 Sep 2010 to 10 Mar 2020)

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.