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.

• Justin James Jordan Meakin

  IRN JJM01215

  • CF30 Customer (24 Jun 2009 to 17 Sep 2010)
• Kajal Hirani

  IRN KXP01314

  • [FCA CF] Client dealing (20 Sep 2021 to 27 Mar 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)
  • CF1 Director (28 Sep 2010 to 28 Jan 2013)
  • CF11 Money Laundering Reporting (10 May 2010 to 1 Jul 2011)
  • CF10 Compliance Oversight (4 Dec 2008 to 24 Dec 2009)
  • CF29 Significant management (4 Apr 2008 to 28 Sep 2010)
• Karen Torigue Clark

  IRN KTC01003

  • CF30 Customer (1 Nov 2007 to 27 Aug 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• 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)
• Kevin Howard O'Sullivan

  IRN KHO01002

  • CF26 Customer Trading (1 Dec 2001 to 27 Jun 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 27 Jun 2002)
  • CF1 Director (1 Dec 2001 to 1 Feb 2006)
• Kina Sinclair

  IRN KXS00619

  • SMF3 Executive Director (since 1 Oct 2023)
• Kirsten Thomas

  IRN KXT00083

  • [FCA CF] Functions requiring qualifications (1 Aug 2020 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.