Marcus Kenneth Brookes

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.

  • Quilter Investors Limited

    FRN 208543

    • SMF1 Chief Executive (since 20 Jan 2025)
    • SMF3 Executive Director (since 20 Jan 2025)
    • [FCA CF] Functions requiring qualifications (1 Jun 2023 to 20 Jan 2025)
    • [FCA CF] Manager of certification employee (1 Jul 2022 to 20 Jan 2025)
    • [FCA CF] Significant management (1 Jul 2022 to 20 Jan 2025)
    • [FCA CF] Client dealing (1 Jul 2022 to 20 Jan 2025)
    • [FCA CF] Material risk taker (1 Jul 2022 to 20 Jan 2025)
  • Quilter Investment Platform Limited

    FRN 165359

    • SMF18 Other Overall Responsibility (since 16 Sep 2022)
  • Quilter Life & Pensions Limited

    FRN 207977

    • SMF18 Other Overall Responsibility (since 16 Sep 2022)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • SMF3 Executive Director (13 Apr 2021 to 28 Feb 2022)
    • [FCA CF] Client dealing (16 Jul 2020 to 28 Feb 2022)
    • [FCA CF] Functions requiring qualifications (16 Jul 2020 to 28 Feb 2022)
    • [FCA CF] Manager of certification employee (16 Jul 2020 to 28 Feb 2022)
    • [FCA CF] Material risk taker (16 Jul 2020 to 28 Feb 2022)
    • [FCA CF] Significant management (16 Jul 2020 to 28 Feb 2022)
  • Scottish Widows Schroder Personal Wealth (ACD) Limited (no longer approved here)

    FRN 834833

    • [FCA CF] Functions requiring qualifications (16 Jul 2020 to 28 Feb 2022)
    • [FCA CF] Client dealing (16 Jul 2020 to 28 Feb 2022)
    • SMF3 Executive Director (9 Dec 2019 to 28 Feb 2022)
    • CF1 Director (4 Oct 2019 to 8 Dec 2019)
    • CF30 Customer (4 Oct 2019 to 8 Dec 2019)
  • Schroder Investment Management Limited (no longer approved here)

    FRN 119348

    • CF30 Customer (24 Jan 2014 to 14 Oct 2019)
  • Schroder Investment Management North America Limited (no longer approved here)

    FRN 144543

    • CF30 Customer (24 Jan 2014 to 14 Oct 2019)
  • Insight Investment Management (Global) Limited (no longer approved here)

    FRN 119308

    • CF27 Investment Management (1 Dec 2001 to 10 Nov 2003)

Recent activity

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

No changes recorded yet.