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.

• Samuel John Lane Barnes

  IRN SJB01723

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Aug 2021)
  • CF30 Customer (6 Sep 2018 to 8 Dec 2019)
• Sarah Jane Coussons

  IRN SXC00395

  • [FCA CF] Functions requiring qualifications (2 Mar 2020 to 16 Jan 2023)
• Sean Scullion

  IRN SXS00445

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Jan 2023)
• Shane Patrick Cashin

  IRN SXC00394

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 8 Nov 2023)
• Simon Nicholas Porter

  IRN SNP01016

  • CF21 Investment Adviser (22 May 2003 to 6 Oct 2003)
  • CF26 Customer Trading (6 May 2003 to 6 Oct 2003)
• Simon Smith

  IRN SXS12305

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Functions requiring qualifications (since 6 Feb 2023)
  • [FCA CF] Significant management (since 4 Nov 2021)
  • [FCA CF] Manager of certification employee (4 Nov 2021 to 23 Nov 2023)
• Simon Turner

  IRN SXT01415

  • SMF10 Chair of the Risk Committee (9 Dec 2019 to 31 Mar 2024)
  • CF2 Non Executive Director (1 Jul 2014 to 8 Dec 2019)
• Simone Luke Molica-Franco

  IRN SLM01112

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Jun 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Jun 2021)
• Stephen John Lawrance

  IRN SJL01266

  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF1 Director (28 Sep 2010 to 28 Jan 2013)
  • CF29 Significant management (4 Apr 2008 to 28 Sep 2010)
• Stephen McHugh

  IRN SXM00517

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 May 2021)

• 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.