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.

• Charles Francis Williams

  IRN CFW01017

  • [FCA CF] Material risk taker (29 Mar 2021 to 6 Dec 2023)
  • [FCA CF] Manager of certification employee (16 Nov 2020 to 6 Dec 2023)
  • [FCA CF] Client dealing (16 Nov 2020 to 6 Dec 2023)
  • [FCA CF] Functions requiring qualifications (16 Nov 2020 to 6 Dec 2023)
  • CF1 Director (18 Jun 2012 to 1 Nov 2012)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (29 Oct 2007 to 31 Oct 2007)
  • CF27 Investment Management (29 Oct 2007 to 31 Oct 2007)
• Charles Scott Dixon

  IRN CSD01032

  • CF1 Director (23 Oct 2008 to 23 Feb 2015)
  • CF30 Customer (1 Nov 2007 to 23 Feb 2015)
  • CF26 Customer Trading (11 Jul 2006 to 31 Oct 2007)
  • CF27 Investment Management (10 Jun 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (10 Jun 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (4 Mar 2003 to 10 Jun 2004)
• Christopher Antony James Macdonald

  IRN CAM00015

  • CF2 Non Executive Director (12 Apr 2017 to 31 Mar 2018)
  • CF30 Customer (1 Nov 2007 to 12 Apr 2017)
  • CF1 Director (1 Dec 2001 to 12 Apr 2017)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• Christopher David Wolff

  IRN CDW01066

  • CF30 Customer (1 Jul 2011 to 7 Mar 2017)
• Christopher John Knight

  IRN CJK01082

  • CF2 Non Executive Director (20 Nov 2009 to 14 Mar 2019)
• Christopher Jordan

  IRN CXJ00260

  • SMF16 Compliance Oversight (since 15 May 2025)
  • [FCA CF] Material risk taker (since 25 Apr 2023)
• Claire Aquilina

  IRN CXA00333

  • SMF3 Executive Director (3 Nov 2023 to 24 Mar 2025)
• Claire Frances Gordon

  IRN CFG01013

  • CF26 Customer Trading (29 Aug 2006 to 30 Jul 2007)
  • CF21 Investment Adviser (3 Oct 2005 to 30 Jul 2007)
  • CF27 Investment Management (3 Oct 2005 to 30 Jul 2007)
  • CF22 Investment Adviser (Trainee) (5 Sep 2005 to 3 Oct 2005)
• Claire Louise Bennison

  IRN CLB01042

  • CF1 Director (23 Oct 2008 to 12 Aug 2016)
  • CF30 Customer (1 Nov 2007 to 28 Aug 2018)
  • CF21 Investment Adviser (2 May 2007 to 31 Oct 2007)
  • CF27 Investment Management (2 May 2007 to 31 Oct 2007)
• Clare Delaney

  IRN CLH01049

  • CF30 Customer (25 Jun 2008 to 1 Jan 2016)

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

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

No changes recorded yet.