Ian Arthur Brooks

Last updated
1 week ago
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Where they hold approval

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

  • Hilltop Finance Limited

    FRN 787803

    • 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] Client dealing (since 6 Jul 2020)
    • [FCA CF] Functions requiring qualifications (since 6 Jul 2020)
  • PROFILE FINANCIAL SOLUTIONS LTD (no longer approved here)

    FRN 596398

    • [FCA CF] Functions requiring qualifications (14 Jan 2020 to 2 Jun 2020)
    • [FCA CF] Client dealing (14 Jan 2020 to 2 Jun 2020)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • [FCA CF] Client dealing (9 Dec 2019 to 13 Jan 2020)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Jan 2020)
    • CF30 Customer (8 Jul 2019 to 8 Dec 2019)
  • TRUE BEARING LIMITED (no longer approved here)

    FRN 486512

    • CF30 Customer (24 Oct 2017 to 25 Oct 2017)
  • LEBC Group Limited (no longer approved here)

    FRN 760755

    • CF30 Customer (1 Aug 2017 to 2 Apr 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (27 Apr 2015 to 31 Jul 2017)
  • LEBC Group Ltd (no longer approved here)

    FRN 191818

    • Employed By (27 Mar 2015 to 31 Jul 2017)
  • Lifetime Wealth Management Limited (no longer approved here)

    FRN 400358

    • (43)Employed By (25 Jun 2012 to 19 Mar 2015)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (25 Jun 2012 to 19 Mar 2015)

Recent activity

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

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