AJD FINANCIAL SERVICES LTD.

Date authorised
7 January 2014
Companies House
SC370233
Last scraped
1 day ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    A J D Financial Services Ltd
    2 Charlotte Street,
    Perth
    Perth & Kinross
    PH1 5LL
    UNITED KINGDOM
    Phone
    +441738628435
    Web
    https://ajdfs.co.uk

  • Complaints Contact

    A J D Financial Services Ltd
    Financial Services Ltd
    Perth
    Perth & Kinross
    PH1 5LL
    UNITED KINGDOM
    Phone
    +441738628435

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

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

  • Pension Transfer Advice

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

    Show 1 limitation
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

  • Investment Advice (no pensions)

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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management activity

  • Investment Setup

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

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Alistair James Duffy

    IRN AJD01277

    • (3)4. Giving personal recommendations on retail investment products which are not broker funds
    • (1)7. Giving personal recommendations on long-term care insurance contracts
    • (2)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (9)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (5)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (6)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (7)SMF3 Executive Director (since 9 Dec 2019)
    • (8)[FCA CF] Client dealing (since 9 Dec 2019)
    • (4)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (5)CF1 Director (7 Jan 2014 to 8 Dec 2019)
    • (1)Responsible for Insurance Mediation (7 Jan 2014 to 30 Sep 2018)
    • (2)CF30 Customer (7 Jan 2014 to 8 Dec 2019)
    • (3)CF11 Money Laundering Reporting (7 Jan 2014 to 8 Dec 2019)
    • (4)CF10 Compliance Oversight (7 Jan 2014 to 8 Dec 2019)

Recent activity

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

  1. controlled function added: (8)[FCA CF] Client dealing

  2. controlled function added: (7)SMF3 Executive Director

  3. controlled function added: (6)SMF16 Compliance Oversight

  4. controlled function added: (5)SMF17 Money Laundering Reporting Officer (MLRO)

  5. controlled function added: (4)Responsible for Insurance Distribution

  6. controlled function added: (3)4. Giving personal recommendations on retail investment products which are not broker funds

  7. controlled function added: (2)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  8. controlled function added: (1)7. Giving personal recommendations on long-term care insurance contracts

  9. controlled function added: (5)CF1 Director

  10. controlled function added: (9)[FCA CF] Functions requiring qualifications

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