AJH Financial Services Ltd

• Principal Place of Business

  18 Tawe Business Village

  Swansea Enterprise Park

  Swansea

  SA7 9LA

  UNITED KINGDOM

  Phone

  +441792556600

• Complaints Contact

  18 Tawe Business Village

  Swansea Enterprise Park

  Swansea

  SA7 9LA

  UNITED KINGDOM

  Phone

  +441792556600

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• 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, 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, 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.

• 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

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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.

• Brian Lewis

  IRN BXL00019

  • CF21 Investment Adviser (13 Nov 2003 to 24 Mar 2004)
• Geraldine Sian Hendricks

  IRN GSH01051

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (28 Sep 2016 to 29 Dec 2017)
  • CF30 Customer (12 Sep 2008 to 8 Dec 2019)
  • CF1 Director (13 Nov 2003 to 8 Dec 2019)
• Gregory Leigh Hendricks

  IRN GLH01041

  • CF30 Customer (4 Feb 2013 to 10 Apr 2015)
• John Anthony Phillips

  IRN JXP00038

  • CF30 Customer (1 Nov 2007 to 14 Nov 2012)
  • CF21 Investment Adviser (11 Nov 2004 to 31 Oct 2007)
• Peter Anthony Rowe

  IRN PAR01157

  • 11. Pension transfer specialist
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 4 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
  • CF30 Customer (2 Aug 2017 to 8 Dec 2019)
• Raymond Dudley Hendricks

  IRN RDH00006

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
  • [FCA CF] Client dealing (since 4 Jan 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (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)
  • CF24 Pension Transfer Specialist (8 Dec 2003 to 31 Oct 2007)
  • CF10 Compliance Oversight (13 Nov 2003 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (13 Nov 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (13 Nov 2003 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (13 Nov 2003 to 31 Mar 2009)
  • CF1 Director (13 Nov 2003 to 8 Dec 2019)

No changes recorded yet.