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

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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, 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

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  • · 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

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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.

• 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

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  • · 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

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  • · 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

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  • · 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

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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.

• 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

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

• Richard Moore

  IRN RXM00933

  • [FCA CF] Significant management (since 23 Nov 2023)
• Richard Stuart Taylor

  IRN RST01055

  • CF1 Director (23 Nov 2009 to 30 Jun 2017)
  • CF10 Compliance Oversight (20 Dec 2007 to 22 Dec 2008)
• Robert Power Gullett

  IRN RPG01016

  • CF2 Non Executive Director (4 Oct 2011 to 16 Jan 2014)
• Robert Richard Trew

  IRN RRT01012

  • CF1 Director (1 Dec 2001 to 4 Apr 2006)
• Robin Cummins

  IRN RXC00258

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Significant management (since 1 Oct 2025)
  • [FCA CF] CASS oversight function (since 8 Sep 2025)
  • [FCA CF] Manager of certification employee (since 1 Jun 2025)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (1 Nov 2021 to 3 Feb 2023)
• Roger John Stott

  IRN RJS01232

  • SMF24 Chief Operations (22 Feb 2022 to 31 Dec 2024)
  • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2024)
  • CF10a CASS Oversight function (4 Mar 2014 to 30 Mar 2018)
  • CF1 Director (28 Sep 2010 to 8 Dec 2019)
  • CF29 Significant management (1 Sep 2008 to 28 Sep 2010)
• Roger Mills

  IRN RXM01290

  • CF30 Customer (12 Sep 2011 to 28 Sep 2018)
• Rosemary June Bhattacharjee

  IRN RJB01491

  • CF10a CASS Oversight function (1 Oct 2011 to 31 Dec 2013)
  • CF11 Money Laundering Reporting (1 Jul 2011 to 31 Dec 2013)
  • CF10 Compliance Oversight (24 Dec 2009 to 12 May 2010)
• Russ David Mould

  IRN RDM01084

  • CF30 Customer (1 Apr 2015 to 8 Dec 2019)
• Ryan David Hughes

  IRN RDH01067

  • SMF3 Executive Director (since 28 Nov 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 3 Feb 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Feb 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 27 Jun 2022)

• 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.