Chris 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.

  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • [FCA CF] Significant management (3 Aug 2022 to 31 Oct 2025)
    • [FCA CF] Client dealing (3 Aug 2022 to 31 Oct 2025)
    • [FCA CF] Manager of certification employee (3 Aug 2022 to 31 Oct 2025)
    • [FCA CF] Material risk taker (3 Aug 2022 to 31 Oct 2025)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • [FCA CF] Significant management (3 Aug 2022 to 31 Oct 2025)
    • [FCA CF] Client dealing (3 Aug 2022 to 31 Oct 2025)
    • [FCA CF] Manager of certification employee (3 Aug 2022 to 31 Oct 2025)
    • [FCA CF] Material risk taker (3 Aug 2022 to 31 Oct 2025)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • [FCA CF] Client dealing (7 Sep 2016 to 22 Jan 2019)
    • CF30 Customer (27 Oct 2009 to 6 Mar 2016)
  • N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)

    FRN 124451

    • CF30 Customer (1 Nov 2007 to 8 Sep 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.