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.

• Laura Lehane

  IRN LXL00278

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Jun 2024)
• Laura Martine Carstensen

  IRN LMC01097

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

  IRN LXM00317

  • [FCA CF] Manager of certification employee (13 Jul 2021 to 23 Nov 2023)
• Lee Stuart McLelland

  IRN LXM00204

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Oct 2021)
• 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 (6 Nov 2008 to 8 Dec 2019)
• Louis Petherick

  IRN LXP01287

  • SMF3 Executive Director (9 Dec 2019 to 25 Jun 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 25 Jun 2021)
  • SMF4 Chief Risk (9 Dec 2019 to 25 Jun 2021)
  • CF1 Director (3 Jul 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (13 Sep 2016 to 8 Dec 2019)
• Luis Gonzalez Lodeiro

  IRN LXL00088

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Jan 2023)
• Luke Edward Bevis

  IRN LEB01026

  • CF30 Customer (26 Jun 2009 to 17 Jun 2011)
• Margaret Hassall

  IRN MGH01152

  • SMF12 Chair of the Remuneration Committee (since 15 Mar 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.