Michael James Brooker

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.

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 20 Jan 2025)
    • [FCA CF] Functions requiring qualifications (since 20 Jan 2025)
  • REGENTIA LIFESTYLE PLANNING LTD (no longer approved here)

    FRN 413890

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Jan 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 10 Jan 2025)
    • CF30 Customer (29 Feb 2016 to 8 Dec 2019)
  • RBR (Financial Services) Limited (no longer approved here)

    FRN 191259

    • (13)Employed By (27 Aug 2002 to 23 Jan 2004)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Dec 2001 to 24 Apr 2002)

Recent activity

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

No changes recorded yet.