BROOKS,BRAITHWAITE & CO.LIMITED

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Investment Advice (no pensions)

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Insurance Admin

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Credit Brokering
Stockbroking

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Investment Setup

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

Senior staff personally approved by the FCA to hold their roles here.

Charles Verden Bettinson
IRN CVB01011
- SMF3 Executive Director (since 3 Mar 2025)
Gillian Brooks
IRN GXB01538
- CF1 Director (14 Jan 2005 to 15 May 2017)
Michael Brooks
IRN MXB02032
- SMF3 Executive Director (9 Dec 2019 to 7 Nov 2025)
- Responsible for Insurance Distribution (26 Mar 2019 to 7 Nov 2025)
- CF1 Director (14 Jan 2005 to 8 Dec 2019)
Philip Andrew Barton
IRN PAB00132
- Responsible for Insurance Distribution (since 3 Mar 2025)
- SMF1 Chief Executive (since 3 Mar 2025)
Ronald David Brooks
IRN RDB01106
- Responsible for Insurance Distribution (1 Oct 2018 to 26 Nov 2018)
- CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF1 Director (14 Jan 2005 to 26 Nov 2018)

Smaller firms operating under this firm's FCA authorisation.

Guardian Forest Products Limited (no longer appointed)
FRN 418336 · Appointed 14 Jan 2005 · Until 21 May 2013
Mci Timply Limited (no longer appointed)
FRN 418337 · Appointed 14 Jan 2005 · Until 2 Mar 2010

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.