BROOKMANS & BERKELEY WEALTH LTD.

• Principal Place of Business

  Brookmans and Berkeley Wealth

  Maple House

  High Street

  Potters Bar

  Hertfordshire

  EN6 5BS

  UNITED KINGDOM

  Phone

  +447940277764

  Web

  https://www.brookmansandberkeley.co.uk

• Complaints Contact

  BROOKMANS AND BERKELEY WEALTH

  Maple House

  High Street

  Potters Bar

  Hertfordshire

  EN6 5BS

  UNITED KINGDOM

  Phone

  +4401707244622

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Bilal Khaliq

  IRN BXK01172

  • 14. Managing investments
  • 11. Pension transfer specialist
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Feb 2022)
  • SMF1 Chief Executive (since 8 Feb 2022)
  • SMF16 Compliance Oversight (since 8 Feb 2022)
  • [FCA CF] Client dealing (since 6 Apr 2021)
  • [FCA CF] Functions requiring qualifications (since 6 Apr 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 14 Nov 2017)
  • [FCA CF] CASS oversight function (6 Apr 2021 to 7 Apr 2021)
  • Director of firm who is not a certification employee or a SMF manager (6 Apr 2021 to 7 Apr 2021)
  • [FCA CF] Algorithmic trading (6 Apr 2021 to 7 Apr 2021)
  • [FCA CF] Benchmark submission and administration (6 Apr 2021 to 7 Apr 2021)
  • [FCA CF] Manager of certification employee (6 Apr 2021 to 7 Apr 2021)
  • [FCA CF] Material risk taker (6 Apr 2021 to 7 Apr 2021)
  • [FCA CF] Proprietary trader (6 Apr 2021 to 7 Apr 2021)
  • [FCA CF] Significant management (6 Apr 2021 to 7 Apr 2021)
  • [PRA CF] Key function holder (6 Apr 2021 to 7 Apr 2021)
  • [PRA CF] Managing a material risk taker (6 Apr 2021 to 7 Apr 2021)
  • [PRA CF] Significant risk taker or Material risk taker (6 Apr 2021 to 7 Apr 2021)
  • Responsible for Insurance Mediation (14 Nov 2017 to 30 Sep 2018)
  • CF1 Director (14 Nov 2017 to 8 Dec 2019)
  • CF30 Customer (30 Dec 2016 to 8 Dec 2019)
• Lauren Coleen Boys

  IRN LCB01052

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Apr 2021)
  • SMF3 Executive Director (9 Dec 2019 to 5 Apr 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 5 Apr 2021)
  • CF10 Compliance Oversight (17 Oct 2016 to 8 Dec 2019)
  • CF1 Director (17 Oct 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (17 Oct 2016 to 8 Dec 2019)
  • CF30 Customer (17 Oct 2016 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (17 Oct 2016 to 14 Nov 2017)
  • Responsible for Insurance Mediation (17 Oct 2016 to 14 Nov 2017)

• Bilal Khaliq (no longer appointed)

  FRN 767505 · Appointed 16 Dec 2016 · Until 6 Jan 2023

• Brookmans and Berkeley Wealth Limited (no longer appointed)

  FRN 629543 · Appointed 5 Dec 2016 · Until 12 Dec 2016

No changes recorded yet.