Stephen Harold Brooker

Watch for changes

Where they hold approval

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

Countrywide Principal Services Limited
FRN 301684
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Functions requiring qualifications (since 28 Nov 2024)
Santander UK Plc (no longer approved here)
FRN 106054
- CF30 Customer (25 Mar 2011 to 21 Mar 2012)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (17 Oct 2008 to 18 Aug 2010)

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.