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.

• Paul Philip Wedge

  IRN PPW00002

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 14. Managing investments
  • 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 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (8 Sep 2017 to 8 Dec 2019)
• Peter Groundwater Russell

  IRN PGR00016

  • CF30 Customer (1 Apr 2011 to 1 Jan 2013)
• Peter Lenart

  IRN PXL00270

  • [FCA CF] Functions requiring qualifications (8 Jan 2021 to 4 Nov 2022)
• Philip David Mather

  IRN PDM01173

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Apr 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Apr 2021)
  • CF30 Customer (26 Sep 2013 to 8 Dec 2019)
• Robert John Brookes

  IRN RJB00030

  • CF30 Customer (24 Nov 2015 to 23 Jan 2018)
• Sally Louise Horlock

  IRN SLW00029

  • 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] Functions requiring qualifications (since 12 Sep 2025)
  • [FCA CF] Client dealing (since 12 Sep 2025)
  • [FCA CF] Client dealing (28 Jun 2023 to 6 May 2025)
  • [FCA CF] Functions requiring qualifications (28 Jun 2023 to 5 Sep 2024)
• Sandeep Kumar Dhir

  IRN SKD01019

  • CF30 Customer (1 Nov 2007 to 25 Feb 2011)
  • CF22 Investment Adviser (Trainee) (25 Apr 2007 to 31 Oct 2007)
• Stephen Hartley

  IRN SXH01666

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Sep 2021)
  • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Mar 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Mar 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 24 Sep 2021)
  • CF10 Compliance Oversight (27 Nov 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (27 Nov 2019 to 8 Dec 2019)
  • CF1 Director (25 Sep 2018 to 8 Dec 2019)
  • CF30 Customer (22 Aug 2016 to 8 Dec 2019)
• Timea Marta Toth

  IRN TXT00141

  • 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] Functions requiring qualifications (since 18 Jan 2022)
  • [FCA CF] Client dealing (since 18 Jan 2022)
• Vimbai Marere

  IRN VXM00218

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Mar 2025)
  • SMF16 Compliance Oversight (since 7 Mar 2025)

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