AB Investment Solutions Limited

• Principal Place of Business

  Northgate House

  Upper Borough Walls

  Bath

  Bath and North East Somerset

  BA1 1RG

  UNITED KINGDOM

  Phone

  +4402081525120

  Web

  https://www.alphabetapartners.co.uk

• Complaints Contact

  Northgate House

  Upper Borough Walls

  Bath

  Somerset

  BA1 1RG

  UNITED KINGDOM

  Phone

  +4402081525120

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Rolling spot forex contract, 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.

• 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Rolling spot forex contract, Share, 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.

• Andrew Thompson

  IRN AXT02213

  • SMF3 Executive Director (since 4 Jan 2021)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Significant management (since 9 Dec 2020)
• Asim Javed

  IRN AXJ01808

  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
• Fiona Geraldine McCaig

  IRN FGM00001

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 16 Dec 2024)
  • [FCA CF] Functions requiring qualifications (since 16 Dec 2024)
  • SMF3 Executive Director (4 Oct 2024 to 7 Jan 2026)
• Geoffrey Laurence Brooks

  IRN GLB01051

  • SMF3 Executive Director (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Significant management (since 9 Dec 2020)
  • SMF1 Chief Executive (since 9 Dec 2020)
• James Anthony Sullivan

  IRN JAS01361

  • SMF3 Executive Director (9 Dec 2019 to 8 Jun 2020)
  • CF1 Director (4 Jan 2016 to 8 Dec 2019)
  • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
• John Stewart Reynolds

  IRN JSR01039

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 20 Feb 2025)
  • [FCA CF] Client dealing (9 Dec 2020 to 20 Feb 2025)
• Martin Robert Gray

  IRN MRG01060

  • CF11 Money Laundering Reporting (4 Jan 2016 to 13 May 2016)
  • CF3 Chief Executive (4 Jan 2016 to 13 May 2016)
  • CF30 Customer (4 Jan 2016 to 13 May 2016)
  • CF1 Director (4 Jan 2016 to 13 May 2016)
• Melanie Claire Kennard

  IRN MCK01035

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (31 May 2016 to 8 Dec 2019)
  • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (4 Jan 2016 to 8 Dec 2019)
  • CF1 Director (4 Jan 2016 to 8 Dec 2019)
• Paul Russell Warner

  IRN PRW00001

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Aug 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 Aug 2021)
  • CF30 Customer (1 Jun 2017 to 8 Dec 2019)
• Peter Gerald Toogood

  IRN PGT01023

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 23 Mar 2026)

• Select Investment Management Limited (no longer appointed)

  FRN 990035 · Appointed 16 Jan 2023 · Until 19 Sep 2023

• Newhampton Asset Management Limited (no longer appointed)

  FRN 976529 · Appointed 27 May 2022 · Until 3 Apr 2023

• Rockhold Investments Ltd (no longer appointed)

  FRN 926529 · Appointed 4 Oct 2021 · Until 7 Jun 2023

• Host Capital Limited (no longer appointed)

  FRN 955611 · Appointed 8 Jul 2021 · Until 15 Dec 2022

No changes recorded yet.