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.

• Laura Martine Carstensen

  IRN LMC01097

  • SMF12 Chair of the Remuneration Committee (9 Dec 2019 to 26 Jan 2022)
  • SMF14 Senior Independent Director (9 Dec 2019 to 26 Jan 2022)
  • CF2 Non Executive Director (29 Mar 2018 to 8 Dec 2019)
• Lesley Joy Mitchell

  IRN LXM76949

  • [FCA CF] Significant management (since 14 Apr 2025)
• Leslie Michael Platts

  IRN LMP01062

  • [FCA CF] Material risk taker (since 13 Jul 2023)
  • SMF13 Chair of the Nominations Committee (9 Dec 2019 to 26 Jan 2022)
  • SMF9 Chair of the Governing Body (9 Dec 2019 to 26 Jan 2022)
  • CF2 Non Executive Director (7 Nov 2017 to 8 Dec 2019)
• Louis Petherick

  IRN LXP01287

  • SMF3 Executive Director (9 Dec 2019 to 25 Jun 2021)
  • SMF4 Chief Risk (9 Dec 2019 to 25 Jun 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 25 Jun 2021)
  • CF10 Compliance Oversight (24 Nov 2017 to 8 Dec 2019)
  • CF1 Director (24 Nov 2017 to 8 Dec 2019)
• Man Kit Matthew Li

  IRN MKL01031

  • CF30 Customer (7 Nov 2017 to 30 Nov 2017)
• Manan Goyal

  IRN MXG00676

  • 14. Managing investments
  • [FCA CF] Client dealing (since 23 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 23 Nov 2023)
• Margaret Hassall

  IRN MGH01152

  • SMF12 Chair of the Remuneration Committee (since 15 Mar 2022)
• Mark Alistair Rendle

  IRN MXR00252

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

  IRN MXG00236

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Jul 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 25 Jul 2022)
• Matthew Brennan

  IRN MXB00440

  • [FCA CF] Client dealing (9 Dec 2019 to 23 May 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 May 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 13 Jul 2021)

No changes recorded yet.