Symon Roderick Drake-Brockman

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.

  • Pemberton Capital Advisors LLP

    FRN 561640

    • [FCA CF] Material risk taker (since 28 Feb 2022)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2013 to 23 Oct 2015)
    • CF30 Customer (1 Oct 2013 to 8 Dec 2019)
    • CF4 Partner (1 Oct 2013 to 8 Dec 2019)
  • Sturgeon Ventures LLP (no longer approved here)

    FRN 452811

    • CF30 Customer (9 Mar 2011 to 1 Oct 2013)
    • CF4 Partner (AR) (9 Mar 2011 to 1 Oct 2013)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF29 Significant management (1 Nov 2007 to 31 Mar 2009)
    • CF30 Customer (1 Nov 2007 to 31 Mar 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.