A.S.J. Financial Services Limited

Date authorised
1 April 2013
Companies House
02337876
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Richmond House
    24 Richmond Road
    Solihull
    West Midlands
    B92 7RP
    UNITED KINGDOM
    Phone
    +4401217644747

  • Complaints Contact

    Richmond House
    24 Richmond Road
    Solihull
    West Midlands
    B92 7RP
    UNITED KINGDOM
    Phone
    +4401217644747

What this firm is allowed to do

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

  • 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

    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.

  • 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

    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, 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
    • · 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, Structured Deposits, Unit, Warrant

    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.

  • Anne Elizabeth Jay

    IRN AEJ01041

    • SMF3 Executive Director (9 Dec 2019 to 11 Jul 2025)
    • CF1 Director (7 Dec 2007 to 8 Dec 2019)
  • Anthony Steven Jay

    IRN ASJ00001

    • 11. Pension transfer specialist
    • 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 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (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)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • Brenda Eileen Murray

    IRN BEM00002

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2004)
  • Lynne Bright

    IRN LXB01365

    • SMF3 Executive Director (9 Dec 2019 to 31 Jul 2020)
    • CF1 Director (24 Jan 2005 to 8 Dec 2019)
  • Martin Laurence Green

    IRN MLG00001

    • CF30 Customer (1 Nov 2007 to 18 Aug 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Paul Montgomery

    IRN PXM00254

    • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2002)
  • Stephen Richard William Shorney

    IRN SRS00019

    • CF21 Investment Adviser (20 Nov 2003 to 13 Feb 2004)
    • CF22 Investment Adviser (Trainee) (19 Jun 2003 to 20 Nov 2003)
  • Stuart Kenneth Preece

    IRN SKP00013

    • CF30 Customer (1 Nov 2007 to 21 Feb 2008)
    • CF24 Pension Transfer Specialist (24 May 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (24 May 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (14 May 2004 to 24 May 2005)

Recent activity

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

No changes recorded yet.