A J BUCKLEY ASSET MANAGEMENT LIMITED

• Principal Place of Business

  3 East Street

  Alresford

  Hampshire

  SO24 9EE

  UNITED KINGDOM

  Phone

  +4401428774070

  Web

  https://www.ajbwealth.co.uk

• Complaints Contact

  3 East Street

  Alresford

  Hampshire

  SO24 9EE

  UNITED KINGDOM

  Phone

  +4401428774070

• P2P Lending Advice

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

• 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, 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.

• 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, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, 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, 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.

• 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, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Anthony John Buckley

  IRN AJB00036

  • CF11 Money Laundering Reporting (1 Apr 2009 to 25 Nov 2013)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 25 Nov 2013)
  • CF1 Director (1 Dec 2001 to 25 Nov 2013)
  • CF10 Compliance Oversight (1 Dec 2001 to 31 Jan 2007)
• Christopher John Williams

  IRN CJW01171

  • CF30 Customer (1 Nov 2007 to 22 May 2008)
  • CF21 Investment Adviser (1 Apr 2005 to 31 Oct 2007)
• James Jonathan Buckley

  IRN JJB00007

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 15 Jul 2021)
  • CF2 Non Executive Director (9 Feb 2007 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 9 Feb 2007)
• Julie Hazlewood

  IRN JMC00015

  • CF1 Director (28 Apr 2009 to 30 Oct 2010)
  • CF30 Customer (1 Nov 2007 to 15 Jul 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Linda Patricia Pannett

  IRN LPP00002

  • CF2 Non Executive Director (3 Jan 2014 to 24 Nov 2014)
  • CF1 Director (1 Dec 2001 to 3 Jan 2014)
• Nicola Mowat

  IRN NXM00011

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF29 Significant management (1 Nov 2007 to 31 Dec 2012)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 31 Oct 2007)
  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 31 Oct 2007)
• Patricia Mary Rutland Buckley

  IRN PMB00015

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 15 Jul 2021)
  • SMF9 Chair of the Governing Body (9 Dec 2019 to 15 Jul 2021)
  • CF2 Non Executive Director (1 Oct 2009 to 8 Dec 2019)
• Paul Colin Gleeson

  IRN PCB01047

  • CF30 Customer (1 Nov 2007 to 30 Mar 2009)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Paul George Willans

  IRN PGW01076

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 1 Aug 2022)
  • CF11 Money Laundering Reporting (30 Apr 2015 to 8 Dec 2019)
  • CF3 Chief Executive (9 Dec 2013 to 8 Dec 2019)
  • CF10a CASS Oversight function (11 Oct 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2011 to 8 Dec 2019)
  • Responsible for Insurance Mediation (28 Nov 2011 to 30 Sep 2018)
  • CF1 Director (19 Feb 2011 to 13 Dec 2012)
  • CF29 Significant management (19 Feb 2011 to 8 Dec 2019)
  • CF30 Customer (19 Feb 2011 to 8 Dec 2019)
• Peter Alfred Karl Klein

  IRN PAK01079

  • Responsible for Insurance Mediation (17 Dec 2010 to 15 Nov 2011)
  • CF10 Compliance Oversight (1 Apr 2009 to 15 Nov 2011)
  • CF30 Customer (1 Apr 2009 to 15 Jul 2011)
  • CF1 Director (29 Oct 2008 to 30 Oct 2010)

No changes recorded yet.