A.J. Wealth Management Limited

• Principal Place of Business

  First Floor Office

  9 High Street

  Tettenhall

  Wolverhampton

  West Midlands

  WV6 8QS

  UNITED KINGDOM

  Phone

  +4401902742921

  Web

  https://www.ajwealthmanagement.co.uk

• Complaints Contact

  First Floor Office

  9 High Street

  Tettenhall

  Wolverhampton

  West Midlands

  WV6 8QS

  UNITED KINGDOM

  Phone

  +4401902742921

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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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.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to debt counselling which is provided in connection with investment advice

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Alexandros Mitios

  IRN AXM00793

  • [FCA CF] Functions requiring qualifications (8 Oct 2021 to 18 Jul 2022)
  • [FCA CF] Client dealing (8 Oct 2021 to 18 Jul 2022)
  • SMF3 Executive Director (12 Aug 2021 to 18 Jul 2022)
• Angela Jellings

  IRN AXJ00006

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • [FCA CF] Manager of certification employee (since 8 Oct 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Feb 2005)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Brian Paul Schofield

  IRN BPS00004

  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 3 Dec 2001)
• Christopher Stonier

  IRN CXS00157

  • CF28 Systems and controls (1 Nov 2007 to 10 Mar 2011)
  • CF10 Compliance Oversight (2 Aug 2006 to 1 Dec 2010)
  • CF1 Director (AR) (9 Feb 2005 to 21 Feb 2006)
  • CF1 Director (1 Dec 2001 to 27 Jul 2012)
  • CF15 Internal Audit (1 Dec 2001 to 31 Oct 2007)
• Colin Brian William Dalton

  IRN CBD00007

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF28 Systems and controls (15 Mar 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (7 Dec 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Daniel Charles Hammond

  IRN DXH00943

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 25 Jul 2025)
  • [FCA CF] Client dealing (since 25 Jul 2025)
• Francis Henry Jellings

  IRN FHJ01003

  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (29 Apr 2014 to 8 Dec 2019)
• Kenneth Alan Biggs

  IRN KAB01085

  • CF1 Director (AR) (15 Oct 2002 to 29 May 2012)
• Kevin John Preece

  IRN KJP00029

  • CF1 Director (1 Dec 2001 to 30 Oct 2014)
• Lauren Jade Sinclair

  IRN LXS00505

  • [FCA CF] Functions requiring qualifications (16 Feb 2023 to 3 Apr 2025)
  • [FCA CF] Client dealing (16 Feb 2023 to 3 Apr 2025)

• Appleby Mall Financial Services Ltd (no longer appointed)

  FRN 224264 · Appointed 10 Apr 2003 · Until 7 Feb 2005

• Princep Pardoe Financial Services Ltd (no longer appointed)

  FRN 219659 · Appointed 10 Oct 2002 · Until 30 Jul 2012

No changes recorded yet.