AJ Bell Asset Management Limited

• Principal Place of Business

  4 Exchange Quay

  Salford

  M5 3EE

  UNITED KINGDOM

  Phone

  +4403454089100

  Web

  https://www.ajbell.co.uk

• Complaints Contact

  4 Exchange Quay

  Salford

  M5 3EE

  UNITED KINGDOM

  Phone

  +4403454089100

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, Spread Bet, 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 Eligible Counterparty, Professional, 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, Spread Bet, 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 Eligible Counterparty, Professional, 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, Spread Bet, 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, 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, Spread Bet, 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.

• Investment Setup

  For Eligible Counterparty, Professional, 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, Spread Bet, 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, 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, Spread Bet, 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.

• Gerard Thomas Ruari McGoldrick

  IRN GXM00457

  • [FCA CF] Functions requiring qualifications (1 Jun 2022 to 12 Nov 2024)
  • [FCA CF] Client dealing (1 Jun 2022 to 12 Nov 2024)
• Helena Louise Morrissey

  IRN HLM01020

  • SMF13 Chair of the Nominations Committee (24 Jan 2022 to 30 Apr 2023)
  • SMF9 Chair of the Governing Body (24 Jan 2022 to 30 Apr 2023)
• Ian Charles Aylward

  IRN ICA01017

  • 14. Managing investments
  • [FCA CF] Manager of certification employee (since 1 Dec 2024)
  • [FCA CF] Client dealing (since 1 Dec 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2024)
  • [FCA CF] Material risk taker (since 1 Dec 2024)
• Jack Fairbrother

  IRN JXF00640

  • 14. Managing investments
  • [FCA CF] Client dealing (since 2 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 2 Oct 2024)
• James Brian Flintoft

  IRN JXF17078

  • 14. Managing investments
  • [FCA CF] Material risk taker (since 3 Jan 2025)
  • [FCA CF] Manager of certification employee (since 31 Jan 2024)
  • [FCA CF] Client dealing (since 23 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 16 Jan 2023)
• James Michael O'Brien

  IRN JXO00094

  • SMF16 Compliance Oversight (since 10 Nov 2025)
  • [FCA CF] Material risk taker (since 1 Apr 2025)
  • SMF16 Compliance Oversight (2 Apr 2024 to 14 Oct 2024)
  • SMF4 Chief Risk (2 Apr 2024 to 14 Oct 2024)
• Jamie Ward

  IRN JXW01886

  • [FCA CF] Manager of certification employee (1 Jun 2022 to 2 Nov 2023)
  • [FCA CF] Functions requiring qualifications (23 May 2022 to 2 Nov 2023)
  • [FCA CF] Client dealing (23 May 2022 to 2 Nov 2023)
• Jennifer Ruth Sproson

  IRN JRS01311

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Feb 2024)
  • CF11 Money Laundering Reporting (24 Nov 2017 to 8 Dec 2019)
• Jeremy Ocansey

  IRN JXO00365

  • [FCA CF] Material risk taker (since 29 Oct 2025)
• Joanna Grace Birkett

  IRN JXB00515

  • [FCA CF] Significant management (9 Dec 2019 to 23 Nov 2023)

No changes recorded yet.