Jeremy Simon Leonard Brooks

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.

  • MRIB Limited

    FRN 454705

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 10. Broker fund adviser
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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 20 Nov 2025)
    • [FCA CF] Functions requiring qualifications (since 20 Nov 2025)
  • Brooks Wealth Management LLP

    FRN 473759

    • 10. Broker fund adviser
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (21 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (21 Nov 2007 to 8 Dec 2019)
    • CF30 Customer (21 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (21 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (21 Nov 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (21 Nov 2007 to 30 Sep 2018)
  • Forvis Mazars Financial Planning Limited (no longer approved here)

    FRN 182644

    • CF21 Investment Adviser (1 Dec 2001 to 21 Nov 2005)

Recent activity

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

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