David Brooker

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.

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 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)
    • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
    • [FCA CF] Client dealing (since 10 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (3 Apr 2023 to 7 Oct 2025)
    • CF30 Customer (25 Apr 2019 to 8 Dec 2019)
  • TaxAssist Direct Financial Services Limited (no longer approved here)

    FRN 971520

    • (6)Employed By (30 Mar 2023 to 6 Oct 2025)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (8 Aug 2014 to 6 Mar 2016)

Recent activity

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

No changes recorded yet.