Neal John Brooks

Last updated
3 weeks ago
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Where they hold approval

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

  • The Prudential Assurance Company Limited (no longer approved here)

    FRN 139793

    • [FCA CF] Manager of certification employee (2 Feb 2023 to 1 Jul 2025)
    • [FCA CF] Significant management (5 Jun 2020 to 24 Nov 2021)
  • M&G Investment Management Limited (no longer approved here)

    FRN 119328

    • SMF18 Other Overall Responsibility (18 Jan 2023 to 1 Jul 2025)
    • [FCA CF] Client dealing (13 Jul 2020 to 1 Jul 2025)
    • CF30 Customer (1 Mar 2017 to 8 Dec 2019)
  • M&G Alternatives Investment Management Limited (no longer approved here)

    FRN 122011

    • [FCA CF] Material risk taker (6 Jan 2022 to 1 Jul 2025)
    • [FCA CF] Manager of certification employee (11 Aug 2020 to 1 Jul 2025)
    • [FCA CF] Client dealing (13 Jul 2020 to 1 Jul 2025)
  • M & G Securities Limited (no longer approved here)

    FRN 122057

    • [FCA CF] Manager of certification employee (1 Oct 2021 to 21 Mar 2025)
    • SMF1 Chief Executive (19 May 2021 to 25 Oct 2022)
    • SMF3 Executive Director (19 May 2021 to 1 Jul 2025)

Recent activity

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

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