Daniel Brooks

Last updated
2 weeks ago
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Where they hold approval

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

  • R.A. Cowen & Partners (Financial Services) Limited

    FRN 126112

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 6 Oct 2023)
    • [FCA CF] Functions requiring qualifications (since 12 Jul 2023)
    • Appointed representative dealing with clients for which they require qualification (since 12 Jul 2023)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (6 May 2021 to 19 Jun 2023)
    • CF30 Customer (21 Mar 2018 to 17 Aug 2020)
  • Newbridge Limited (no longer approved here)

    FRN 694949

    • (5)Employed By (5 May 2021 to 19 Jun 2023)
  • NOVITAS WEALTH MANAGEMENT LTD. (no longer approved here)

    FRN 605986

    • [FCA CF] Functions requiring qualifications (1 Oct 2020 to 29 Jan 2021)
  • Williams Wealth Consultancy Limited (no longer approved here)

    FRN 538661

    • Employed By (21 Mar 2018 to 17 Aug 2020)

Recent activity

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

No changes recorded yet.