Brooks Macdonald Asset Management Limited

• Principal Place of Business

  40 Leadenhall Street

  London

  City Of London

  EC3A 2BJ

  UNITED KINGDOM

  Phone

  +4402074996424

  Web

  https://www.brooksmacdonald.com

• Complaints Contact

  40 Leadenhall Street

  London

  City Of London

  EC3A 2BJ

  UNITED KINGDOM

  Phone

  +4402074996424

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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

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  • · 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.

• Islamic Mortgage Advice

  For Customer, Home purchase plans

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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

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  • · 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

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

• Islamic Mortgage Arranging

  For Customer, Home purchase plans

• Equity Release Arranging

  For Customer, Home reversion plans

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Trade Settlement Routing

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · 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.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Islamic Mortgage Setup

  For Customer, Home purchase plans

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Robert Morris Seifert

  IRN RMS01166

  • [FCA CF] Functions requiring qualifications (16 Nov 2020 to 7 Jul 2021)
  • [FCA CF] Client dealing (16 Nov 2020 to 7 Jul 2021)
  • CF30 Customer (7 Mar 2011 to 8 Dec 2019)
• Robin Blackledge

  IRN RDB01164

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 13 Jan 2022)
  • [FCA CF] Client dealing (since 13 Jan 2022)
• Robin Dickson McAdam

  IRN RDM01072

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Material risk taker (since 29 Mar 2021)
  • [FCA CF] Client dealing (since 16 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 16 Nov 2020)
  • [FCA CF] Manager of certification employee (since 16 Nov 2020)
  • CF30 Customer (14 Sep 2009 to 8 Dec 2019)
• Robin Thomas Eggar

  IRN RTE01004

  • Responsible for Insurance Distribution (31 Oct 2023 to 7 Jan 2026)
  • SMF3 Executive Director (9 Dec 2019 to 7 Jan 2026)
  • CF1 Director (15 Feb 2008 to 1 Nov 2012)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (12 Jul 2006 to 31 Oct 2007)
  • CF27 Investment Management (21 Apr 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (19 Apr 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (3 Mar 2003 to 19 Apr 2004)
• Ruaidhri Smith

  IRN RXS01203

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 2 Sep 2024)
  • [FCA CF] Client dealing (since 2 Sep 2024)
• Ryan Anthony Mitchell

  IRN RAM01238

  • [FCA CF] Client dealing (since 10 Jan 2023)
• Saisha Penny

  IRN SXM00597

  • [FCA CF] Functions requiring qualifications (16 Feb 2022 to 18 Jun 2025)
  • [FCA CF] Client dealing (16 Feb 2022 to 18 Jun 2025)
• Samuel David Boyle

  IRN SXB00552

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 25 Feb 2022)
  • [FCA CF] Client dealing (since 25 Feb 2022)
• Samuel Frank Lippiatt Durnell

  IRN SFL01019

  • [FCA CF] Functions requiring qualifications (16 Nov 2020 to 6 Sep 2024)
  • [FCA CF] Client dealing (16 Nov 2020 to 6 Sep 2024)
  • CF30 Customer (15 Jul 2014 to 8 Dec 2019)
• Samuel Nathan Westacott

  IRN SXW01060

  • 14. Managing investments
  • [FCA CF] Client dealing (since 26 Nov 2025)
  • [FCA CF] Functions requiring qualifications (since 26 Nov 2025)

• Portfolio Partnership (Peterborough) Ltd (no longer appointed)

  FRN 225622 · Appointed 20 Jun 2003 · Until 10 Nov 2006

No changes recorded yet.