AJ Bell Securities Limited

• Principal Place of Business

  A J Bell Securities Ltd

  4 Exchange Quay

  Salford

  M5 3EE

  UNITED KINGDOM

  Phone

  +4403454089100

  Web

  https://www.ajbell.co.uk

• Complaints Contact

  A J Bell Securities Ltd

  4 Exchange Quay

  Salford

  M5 3EE

  UNITED KINGDOM

  Phone

  +4403454089100

• P2P Lending Advice

  For Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  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, Life Policy, 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, Stakeholder pension scheme, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  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), Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  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), Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Holds Your Assets

  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, Life Policy, 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, Stakeholder pension scheme, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Nicholas Michael Carrington

  IRN NXC00141

  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Dec 2023)
• Olubunmi Likinyo

  IRN OXL00063

  • [FCA CF] Significant management (2 Oct 2023 to 30 Nov 2024)
• Patrick William Keenan

  IRN PXK00210

  • [FCA CF] Functions requiring qualifications (1 Oct 2021 to 16 Jan 2023)
• Paul Sleney

  IRN PXS01811

  • SMF5 Head of Internal Audit (26 Jan 2023 to 4 Jul 2025)
• Peter Hopkins

  IRN PXH00322

  • [FCA CF] Significant management (9 Dec 2019 to 1 Jan 2025)
• Peter John Lockyer

  IRN PJL01112

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 23 Nov 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Peter Michael Birch

  IRN PXB00461

  • SMF24 Chief Operations (since 1 Jan 2025)
  • SMF2 Chief Finance (since 2 Aug 2022)
  • SMF3 Executive Director (since 2 Aug 2022)
• Philip John Lampshire

  IRN PJL01122

  • CF1 Director (1 Dec 2001 to 1 Jan 2003)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Jan 2003)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Jan 2003)
• Raymond Reali

  IRN RXR01092

  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2004)
  • CF26 Customer Trading (1 Dec 2001 to 31 Dec 2004)
• Rebecca Kate Tomlinson

  IRN RXT00306

  • [FCA CF] Functions requiring qualifications (12 Sep 2022 to 16 Jan 2023)

• News UK & Ireland Limited (no longer appointed)

  FRN 616540 · Appointed 5 Dec 2019 · Until 8 Dec 2022

• Telegraph Media Group Limited (no longer appointed)

  FRN 415487 · Appointed 29 May 2018 · Until 21 Dec 2018

• Telegraph Media Group Limited (no longer appointed)

  FRN 415487 · Appointed 1 Apr 2014 · Until 29 Oct 2014

No changes recorded yet.