Mark Roland Brookes

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • WILLDAY WEALTH MANAGEMENT LIMITED

    FRN 802057

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 8 Aug 2025)
    • [FCA CF] Client dealing (since 8 Aug 2025)
  • Mark Brookes IFA

    FRN 518551

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF10 Compliance Oversight (5 Aug 2010 to 8 Dec 2019)
    • CF30 Customer (5 Aug 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Aug 2010 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (5 Nov 2010 to 18 Nov 2010)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 18 Jun 2010)
    • CF21 Investment Adviser (2 Oct 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Nov 2002 to 2 Oct 2007)

Recent activity

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

No changes recorded yet.