James Alexander Stuart Brooks

Last updated
3 weeks ago
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Where they hold approval

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

  • The Bank of Nova Scotia

    FRN 141308

    • [FCA CF] Client dealing (since 16 Jan 2025)
    • [FCA CF] Manager of certification employee (since 16 Jan 2025)
    • [FCA CF] Material risk taker (since 16 Jan 2025)
    • [PRA CF] Significant risk taker or Material risk taker (since 16 Jan 2025)
  • THE ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (no longer approved here)

    FRN 114724

    • [FCA CF] Client dealing (2 Apr 2018 to 8 Apr 2020)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (5 Feb 2007 to 31 Oct 2007)

Recent activity

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

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