James Keith Brooks

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 14 Jun 2024)
- CF30 Customer (since 18 May 2024)
James Brooks
FRN 1012577
- (1)Employed By (since 18 May 2024)
Weatherbys Bank Limited (no longer approved here)
FRN 204571
- [FCA CF] Manager of certification employee (30 Jun 2021 to 2 Oct 2023)
- [FCA CF] Functions requiring qualifications (9 Mar 2020 to 2 Oct 2023)
- [FCA CF] Material risk taker (9 Mar 2020 to 1 Mar 2022)

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.