Roger Jason Brookes

Watch for changes

Where they hold approval

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

Sturgeon Ventures LLP
FRN 452811
- CF1 Director (AR) (since 31 Jan 2019)
- CF30 Customer (since 31 Jan 2019)
Carolon Capital UK Limited
FRN 831932
- Employed By (since 31 Jan 2019)
Stepstone Group Europe LLP (no longer approved here)
FRN 551580
- [FCA CF] Client dealing (1 Jun 2020 to 1 Jun 2025)
J.P. Morgan Markets Limited (no longer approved here)
FRN 114031
- CF30 Customer (1 Nov 2007 to 2 May 2008)
- CF21 Investment Adviser (20 Jun 2007 to 31 Oct 2007)
TP ICAP Markets Limited (no longer approved here)
FRN 124520
- CF21 Investment Adviser (19 Jun 2003 to 31 Aug 2004)
Guy Butler Limited (no longer approved here)
FRN 190911
- CF21 Investment Adviser (19 Jun 2003 to 31 Aug 2004)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.