The Financial Investment Consultancy

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

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Brookfields
    Charity Lane
    Westhead
    Ormskirk
    Lancashire
    L40 6LG
    UNITED KINGDOM
    Phone
    +4401695579334
    Web
    https://www.ficbrookfields.co.uk

  • Complaints Contact

    Brookfields
    Charity Lane
    Westhead
    Ormskirk
    Lancashire
    L40 6LG
    UNITED KINGDOM
    Phone
    +447921004887

What this firm is allowed to do

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

  • P2P Lending Advice

    For 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

    Show 1 limitation
    • · 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 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
    • · 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.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For 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
    • · 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 Setup

    For 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
    • · 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.

Approved individuals

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

  • Malcolm Roy Johnson

    IRN MRJ00030

    • Sole trader dealing with clients for which they require qualification (16 Jul 2020 to 17 Oct 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 17 Oct 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Oct 2025)
    • SMF27 Partner (9 Dec 2019 to 17 Oct 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 17 Oct 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (8 Apr 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • Nigel Hemingway

    IRN NXH00008

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • [FCA CF] Functions requiring qualifications (since 13 Nov 2025)
    • [FCA CF] Client dealing (since 13 Nov 2025)
    • Responsible for Insurance Distribution (17 Dec 2025 to 23 Mar 2026)
    • SMF16 Compliance Oversight (17 Dec 2025 to 23 Mar 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (17 Dec 2025 to 23 Mar 2026)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • Susan Johnson

    IRN SXJ00091

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (1 Dec 2001 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.