AXA INVESTMENT MANAGERS UK LIMITED

• Principal Place of Business

  A X A Investment Managers

  22 Bishopsgate

  London

  City Of London

  EC2N 4BQ

  UNITED KINGDOM

  Phone

  +442070031000

  Web

  https://www.axa-im.co.uk

• Complaints Contact

  A X A Investment Managers

  22 Bishopsgate

  London

  City Of London

  EC2N 4BQ

  UNITED KINGDOM

  Phone

  +442070031000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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 Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Retail Investment Funds

• Specialist Investment Funds

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• James Kenneth McAlevey

  IRN JKM01023

  • [FCA CF] Client dealing (since 1 Jan 2026)
  • [FCA CF] Manager of certification employee (since 1 Jan 2026)
  • [FCA CF] Material risk taker (since 1 Jan 2026)
• James Stiff

  IRN JXS04323

  • [FCA CF] Client dealing (since 18 Nov 2025)
• James Tappenden

  IRN JXT00364

  • [FCA CF] Client dealing (since 30 Sep 2021)
  • [FCA CF] Material risk taker (30 Sep 2021 to 19 Jan 2024)
• James Tarver Stride

  IRN JTS01043

  • CF30 Customer (1 Nov 2007 to 30 Jun 2017)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 16 Dec 2015)
• James Tierney

  IRN JXT01987

  • CF30 Customer (29 Mar 2016 to 17 May 2017)
• James Williams Roden

  IRN JWR01034

  • CF27 Investment Management (1 Dec 2001 to 31 Jul 2002)
• Jamie John Hooper

  IRN JJH01058

  • CF30 Customer (1 Jun 2009 to 8 Dec 2019)
• Jamie Neil Grant

  IRN JNG01015

  • CF30 Customer (1 Nov 2007 to 31 Jan 2009)
  • CF27 Investment Management (18 Dec 2003 to 31 Oct 2007)
• Jane Wadia Demyttenaere

  IRN JXW02115

  • SMF3 Executive Director (11 May 2023 to 24 Feb 2026)
• Janet McKitterick

  IRN JXM03104

  • CF30 Customer (30 Aug 2012 to 3 Dec 2012)

• Sun Life Broker Services Limited (no longer appointed)

  FRN 151627 · Appointed 1 Feb 1989 · Until 30 Jun 2016

• Axa Sun Life Direct Ltd (no longer appointed)

  FRN 151628 · Appointed 25 Jan 1989 · Until 30 Jun 2016

No changes recorded yet.