Peter James 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.

  • ADM Investor Services International Limited

    FRN 148474

    • SMF18 Other Overall Responsibility (since 12 Mar 2026)
    • [FCA CF] Client dealing (since 2 Feb 2023)
  • Sucden Financial Limited (no longer approved here)

    FRN 114239

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Feb 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jan 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 1 Feb 2023)
    • CF30 Customer (23 Feb 2009 to 8 Dec 2019)
  • CLSA (UK) (no longer approved here)

    FRN 140836

    • CF26 Customer Trading (24 Feb 2004 to 15 Nov 2004)

Recent activity

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

No changes recorded yet.