AJ Brokers Limited

FRN: 646612
Companies House: 08753750
Last scraped: 1 day ago

This firm operates as an appointed representative of Independent Broking Solutions Limited. Its regulated business runs under their FCA authorisation, and they're legally responsible for what it does.

Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

1 George Yard

4th Floor

London

EC3V 9DF

UNITED KINGDOM

Phone

+4402036214759

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Andrew David Upton
IRN ADU01006
- (2)Employed By (since 29 Sep 2014)
Joanne Upton
IRN JXU01084
- (1)Employed By (since 21 Jan 2015)
Jonathan Sprules
IRN JXS03836
- (3)Employed By (since 3 Nov 2021)
Nicholas Beresford Readings
IRN NBR01012
- (4)Employed By (since 17 Sep 2020)
- (1)Employed By (28 Nov 2014 to 2 Mar 2020)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.