David Thomas Brockton

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.

  • Deutsche Bank AG

    FRN 150018

    • [FCA CF] Client dealing (since 25 Apr 2024)
    • [FCA CF] Manager of certification employee (since 25 Apr 2024)
  • Numis Securities Limited (no longer approved here)

    FRN 144822

    • SMF18 Other Overall Responsibility (31 Jan 2024 to 10 May 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Jan 2024)
  • Panmure Liberum Capital Limited (no longer approved here)

    FRN 465050

    • CF30 Customer (3 Oct 2013 to 17 Sep 2019)
  • Haitong International (UK) Limited (no longer approved here)

    FRN 196482

    • CF30 Customer (23 May 2011 to 13 Aug 2013)
  • Investec Bank PLC (no longer approved here)

    FRN 172330

    • CF21 Investment Adviser (27 Oct 2003 to 24 Oct 2005)
    • CF22 Investment Adviser (Trainee) (11 Nov 2002 to 27 Oct 2003)

Recent activity

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

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