Stuart Neville Brookes

Last updated
2 weeks ago
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Where they hold approval

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

  • CANACCORD GENUITY ASSET MANAGEMENT LIMITED

    FRN 209741

    • [FCA CF] CASS oversight function (since 2 Dec 2020)
    • [FCA CF] Manager of certification employee (since 2 Dec 2020)
    • [FCA CF] Material risk taker (since 2 Dec 2020)
    • [FCA CF] Significant management (since 2 Dec 2020)
    • CF3 Chief Executive (16 Jun 2014 to 31 May 2019)
    • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 31 May 2019)
  • CG Wealth Planning Limited

    FRN 594155

    • [FCA CF] Significant management (since 2 Dec 2020)
    • [FCA CF] Material risk taker (since 2 Dec 2020)
  • Canaccord Genuity Wealth Limited

    FRN 194927

    • SMF18 Other Overall Responsibility (since 9 Dec 2019)
    • CF10a CASS Oversight function (17 May 2019 to 8 Dec 2019)

Recent activity

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

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