A & J WEALTH MANAGEMENT LIMITED

• Principal Place of Business

  The Carriage Barn

  Bartletts Court

  Bath Road

  Littlewick Green

  Maidenhead

  Windsor And Maidenhead

  SL6 3RX

  UNITED KINGDOM

  Phone

  +4401628480200

  Web

  https://www.afhwm.co.uk/cookham

• Complaints Contact

  The Carriage Barn

  Bartletts Court

  Bath Road

  Littlewick Green

  Maidenhead

  Windsor And Maidenhead

  SL6 3RX

  UNITED KINGDOM

  Phone

  +4401628480200

• 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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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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

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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, 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, 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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management 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, 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, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Adam Bentley Hughes

  IRN ABH01015

  • SMF3 Executive Director (9 Dec 2019 to 17 Mar 2022)
  • CF1 Director (27 Sep 2019 to 8 Dec 2019)
• Andre Pimenta Tavares De Castro

  IRN AXP01498

  • CF30 Customer (1 Nov 2007 to 30 Sep 2009)
  • CF21 Investment Adviser (21 Nov 2005 to 31 Oct 2007)
• Andrew John Harris

  IRN AJH01546

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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] Functions requiring qualifications (since 9 Nov 2020)
  • [FCA CF] Client dealing (since 9 Nov 2020)
• Anne Christine Jones

  IRN ACJ00026

  • CF1 Director (4 Oct 2005 to 28 Mar 2018)
• Anthony Edward Stevens

  IRN AES00034

  • 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] Functions requiring qualifications (since 1 Sep 2021)
  • [FCA CF] Client dealing (since 1 Sep 2021)
• Anthony Lee Conway

  IRN ALC01020

  • [FCA CF] Functions requiring qualifications (4 Apr 2021 to 27 Jan 2022)
  • [FCA CF] Client dealing (4 Apr 2021 to 27 Jan 2022)
• Austin David Broad

  IRN ADB00010

  • Director of firm who is not a certification employee or a SMF manager (since 1 Oct 2025)
• Bethany Constance Mary Amer

  IRN BXA00145

  • [FCA CF] Manager of certification employee (29 Sep 2023 to 4 Feb 2025)
  • [FCA CF] Client dealing (18 Jan 2022 to 4 Feb 2025)
  • [FCA CF] Functions requiring qualifications (18 Jan 2022 to 4 Feb 2025)
• Caroline Elizabeth Greaves

  IRN CXG00240

  • [FCA CF] Manager of certification employee (21 Apr 2021 to 20 Sep 2022)
• Damon Brett Shaw

  IRN DBS00019

  • 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
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 26 Apr 2021)
  • [FCA CF] Functions requiring qualifications (since 26 Apr 2021)

No changes recorded yet.