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.

• Daniel Humphrey

  IRN DXH02192

  • CF30 Customer (13 Jan 2016 to 21 Jun 2019)
• David Graham Sexton

  IRN DGS01125

  • CF30 Customer (17 Apr 2008 to 17 Sep 2015)
• Derek Ian Kean

  IRN DIK00001

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Mar 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Mar 2026)
  • CF30 Customer (11 Mar 2019 to 8 Dec 2019)
• Derek Louis Harris

  IRN DLH01108

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2020)
  • CF30 Customer (18 Jun 2013 to 8 Dec 2019)
• Douglas Robert Sims

  IRN DRS01193

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Feb 2021)
  • CF30 Customer (7 Aug 2012 to 8 Dec 2019)
• Duncan Pluck

  IRN DCP01073

  • CF30 Customer (24 Mar 2011 to 10 Nov 2014)
• Gareth Sutton Jones

  IRN GSJ00002

  • 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)
  • SMF1 Chief Executive (since 30 Apr 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • SMF16 Compliance Oversight (8 Jul 2025 to 10 Nov 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (8 Jul 2025 to 10 Nov 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (4 Oct 2005 to 31 Oct 2007)
  • Responsible for Insurance Mediation (4 Oct 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (4 Oct 2005 to 1 Aug 2019)
  • CF1 Director (4 Oct 2005 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (4 Oct 2005 to 1 Aug 2019)
  • CF8 Apportionment and Oversight (4 Oct 2005 to 6 Nov 2008)
• Gary Hereward Munro Hamilton

  IRN GXH06090

  • 14. Managing investments
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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] Client dealing (since 11 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 11 Jul 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 May 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 May 2023)
  • CF30 Customer (14 Sep 2018 to 8 Dec 2019)
• Glenn Bernard Vald

  IRN GBV00001

  • CF1 Director (9 Feb 2012 to 6 Apr 2018)
  • CF30 Customer (7 Jun 2011 to 1 Jan 2013)
• Gordon Arnold Cumming

  IRN GAC00009

  • CF30 Customer (27 May 2011 to 5 Apr 2012)

No changes recorded yet.