Coffey Brooks Financial Services Ltd

Date authorised
1 April 2013
Companies House
04519238
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    60
    Station Road
    Clacton-on-Sea
    Essex
    CO15 1SP
    UNITED KINGDOM
    Phone
    +441255688400
    Web
    https://www.coffeybrooks.com

  • Complaints Contact

    60
    Station Road
    Clacton-on-Sea
    Essex
    CO15 1SP
    UNITED KINGDOM
    Phone
    +441255688400

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • P2P Lending Advice

    For Professional, Retail (Investment)

  • Pension Transfer Advice

    For 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 2 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
    • · 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

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

  • 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

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · 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

Approved individuals

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

  • Martin Tomkins

    IRN MXT02152

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • CF30 Customer (since 2 Apr 2019)
    • CF1 Director (AR) (since 3 Aug 2015)
  • Matthew Hodges

    IRN MXH02752

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • 9A. Advising on P2P agreements
    • CF1 Director (AR) (since 18 Oct 2023)
    • [FCA CF] Client dealing (since 27 Oct 2022)
    • [FCA CF] Functions requiring qualifications (since 27 Oct 2022)
  • Michael Stephen Gibbons

    IRN MSG00012

    • CF30 Customer (9 Aug 2012 to 28 Jan 2013)
    • CF1 Director (30 Mar 2007 to 1 Apr 2009)
    • Responsible for Insurance Mediation (30 Mar 2007 to 1 Apr 2009)
    • CF21 Investment Adviser (30 Mar 2007 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (30 Mar 2007 to 1 Apr 2009)
    • CF10 Compliance Oversight (30 Mar 2007 to 1 Apr 2009)
  • Neil Gregory

    IRN NXG01396

    • CF1 Director (AR) (15 Jun 2015 to 7 Dec 2022)
  • Neil Patrick Coffey

    IRN NPC01063

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (since 11 Dec 2008)
    • CF1 Director (AR) (12 Apr 2016 to 7 Dec 2022)
    • CF10 Compliance Oversight (30 Jun 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (30 Jun 2009 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (30 Jun 2009 to 8 Dec 2019)
    • CF1 Director (30 Jun 2009 to 8 Dec 2019)
  • Neil Robert Brooks

    IRN NRB01070

    • CF1 Director (7 May 2009 to 13 Oct 2015)
    • CF30 Customer (3 Feb 2009 to 1 Apr 2009)
  • Olajide Olatuboson Sowunmi

    IRN OOS00001

    • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 9 May 2025)
  • Raymond Gerard Castell

    IRN RGC00029

    • CF28 Systems and controls (1 Nov 2007 to 26 Jun 2009)
    • CF13 Finance (31 Oct 2004 to 31 Oct 2007)
    • CF1 Director (31 Oct 2004 to 26 Jun 2009)
    • CF11 Money Laundering Reporting (31 Oct 2004 to 26 Jun 2009)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 26 Jun 2009)
    • CF3 Chief Executive (31 Oct 2004 to 26 Jun 2009)
    • CF15 Internal Audit (31 Oct 2004 to 31 Oct 2007)
    • CF14 Risk Assessment (31 Oct 2004 to 31 Oct 2007)
  • Samantha Louise Hockley

    IRN SLF01046

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 16 Dec 2022)
    • [FCA CF] Client dealing (since 16 Dec 2022)
  • Sean Malcolm Clements

    IRN SMC00029

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • CF30 Customer (since 31 Jan 2022)
    • CF1 Director (AR) (since 31 Jan 2022)
    • Appointed representative dealing with clients for which they require qualification (since 16 Nov 2021)
    • [FCA CF] Client dealing (since 21 Oct 2021)
    • [FCA CF] Functions requiring qualifications (since 27 Sep 2021)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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