Geoffrey John Brooks

Watch for changes

Where they hold approval

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

Courtiers Investment Services Limited (no longer approved here)
FRN 124995
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Jun 2023)
- [FCA CF] Client dealing (9 Dec 2019 to 23 Jun 2023)
- CF30 Customer (18 Jan 2010 to 9 Dec 2019)
Courtiers (Castlebridge) Financial Consultants Ltd (no longer approved here)
FRN 480694
- Employed By (18 Jan 2010 to 9 Dec 2019)
TenetConnect Services Limited (no longer approved here)
FRN 150643
- CF30 Customer (1 Nov 2007 to 13 Nov 2009)
- CF21 Investment Adviser (6 Jun 2007 to 31 Oct 2007)
CBK (Nottingham) Ltd (no longer approved here)
FRN 442033
- Employed By (6 Jun 2007 to 13 Nov 2009)
Sunbeam Investments Ltd (no longer approved here)
FRN 231104
- (3)Employed By (26 Jan 2004 to 12 Aug 2005)

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.