Stewart Robert Brockett

Watch for changes

Where they hold approval

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

The On-Line Partnership Limited (no longer approved here)
FRN 192638
- CF7 Sole Trader (AR) (12 Jan 2005 to 30 Dec 2006)
- CF22 Investment Adviser (Trainee) (7 Apr 2004 to 10 Dec 2004)
SRB Financial Services (no longer approved here)
FRN 419860
- (1)Employed By (12 Jan 2005 to 30 Dec 2006)
Maxim Wealth Management Ltd (no longer approved here)
FRN 197000
- (1)Employed By (7 Apr 2004 to 17 May 2006)
RLUM Limited (no longer approved here)
FRN 144032
- CF21 Investment Adviser (1 Dec 2001 to 9 Apr 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.