A & J WEALTH MANAGEMENT LIMITED

Date authorised
1 April 2013
Companies House
05105933
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

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

  • 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 2 limitations
    • · 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

    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 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

    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.

  • 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

    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.

  • 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

    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.

  • Debt Advice

    Show 1 limitation
    • · 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

    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.

  • 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

    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.

  • Gordon Frisby

    IRN GXF01267

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 21 Feb 2024)
    • CF2 Non Executive Director (2 Nov 2018 to 8 Dec 2019)
  • Gregory Marc Fields

    IRN GMF01021

    • [FCA CF] Client dealing (15 Mar 2021 to 27 Jan 2022)
    • [FCA CF] Functions requiring qualifications (15 Mar 2021 to 27 Jan 2022)
  • James Edward Moore

    IRN JXM07197

    • SMF3 Executive Director (6 Jul 2023 to 28 Feb 2024)
    • SMF9 Chair of the Governing Body (3 Mar 2023 to 4 Jul 2023)
    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 3 Mar 2023)
    • CF2 Non Executive Director (25 Oct 2018 to 8 Dec 2019)
  • John Leonard Amor

    IRN JLA00002

    • SMF16 Compliance Oversight (23 Sep 2021 to 31 Jan 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (23 Sep 2021 to 31 Jan 2025)
  • John Sidney Stapleton Posgate

    IRN JSP01120

    • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2022)
    • CF1 Director (8 Nov 2017 to 8 Dec 2019)
    • CF2 Non Executive Director (14 Feb 2012 to 8 Nov 2017)
  • Kerry Simone Willson

    IRN KXW00374

    • [FCA CF] Manager of certification employee (since 29 Sep 2023)
  • Lucy Furnell

    IRN LXF00117

    • [FCA CF] Manager of certification employee (since 5 Jan 2021)
  • Matthew George Butcher

    IRN MGB01101

    • [FCA CF] Significant management (5 Jan 2021 to 31 Aug 2021)
  • Michael Barrett

    IRN MXB00255

    • CF1 Director (14 Feb 2012 to 6 Apr 2018)
    • CF30 Customer (1 Apr 2011 to 1 Jan 2013)
  • Owain Blunkett-Evans

    IRN OXB01231

    • [FCA CF] Client dealing (28 Apr 2021 to 4 Feb 2022)
    • [FCA CF] Functions requiring qualifications (28 Apr 2021 to 4 Feb 2022)
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Recent activity

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

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