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.

• Joanna Louise Colonnese

  IRN JXC00468

  • [FCA CF] Significant management (1 Apr 2021 to 23 Nov 2023)
• John Charles Morter

  IRN JCM01135

  • CF10 Compliance Oversight (7 Nov 2017 to 30 Nov 2017)
  • CF11 Money Laundering Reporting (7 Nov 2017 to 30 Nov 2017)
  • CF1 Director (7 Nov 2017 to 30 Nov 2017)
• John Tomlins

  IRN JXT01148

  • CF2 Non Executive Director (7 Nov 2017 to 23 Mar 2018)
• Julie Chakraverty

  IRN JXC01414

  • [FCA CF] Material risk taker (since 3 Jun 2024)
• Karen Ling Goodman

  IRN KXG17148

  • SMF4 Chief Risk (since 15 Sep 2021)
  • SMF3 Executive Director (since 15 Sep 2021)
  • SMF16 Compliance Oversight (15 Sep 2021 to 10 Nov 2025)
• Karen Louise Hewitt

  IRN KLH01061

  • [FCA CF] Significant management (9 Dec 2019 to 31 Mar 2021)
• Katie Sheard

  IRN KXS00192

  • [FCA CF] Significant management (9 Dec 2019 to 1 Dec 2021)
• Kevin Doran

  IRN KXD01102

  • SMF3 Executive Director (3 May 2022 to 24 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Nov 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 Nov 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 24 Nov 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 24 Nov 2023)
• Kina Sinclair

  IRN KXS00619

  • SMF3 Executive Director (since 1 Oct 2023)
• Laura Lehane

  IRN LXL00278

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Jun 2024)

No changes recorded yet.