P J AIKEN LIMITED

Date authorised
1 April 2013
Companies House
05581988
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    P J Aiken Ltd
    4 Trinity Street
    Dorchester
    Dorset
    DT1 1TT
    UNITED KINGDOM
    Phone
    +4401305266676
    Web
    https://pjaiken.co.uk

  • Complaints Contact

    P J Aiken Ltd
    4 Trinity Street
    Dorchester
    Dorset
    DT1 1TT
    UNITED KINGDOM
    Phone
    +4401305266676

What this firm is allowed to do

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

  • Pension Transfer Advice

    For 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 2 limitations
    • · 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 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 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 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 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.

  • Abby Elizabeth Johnson

    IRN AEP01028

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (6 Jan 2020 to 8 Dec 2019)
  • Anthony Neil Gregory

    IRN ANG01037

    • SMF3 Executive Director (9 Dec 2019 to 28 Jan 2020)
    • CF1 Director (1 Feb 2006 to 8 Dec 2019)
  • Gary John Collins

    IRN GJC00054

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • SMF16 Compliance Oversight (since 1 Feb 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Feb 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (8 Apr 2015 to 8 Dec 2019)
    • CF30 Customer (14 Sep 2011 to 8 Dec 2019)
  • Jonathan Anthony Ellis

    IRN JAE00003

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Feb 2023)
    • CF30 Customer (26 Mar 2014 to 8 Dec 2019)
  • Katrina Marie Gregory

    IRN KMG00013

    • SMF3 Executive Director (9 Dec 2019 to 28 Jan 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 12 Nov 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Feb 2006 to 12 Nov 2019)
    • CF21 Investment Adviser (1 Feb 2006 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Feb 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (1 Feb 2006 to 31 Mar 2009)
    • CF1 Director (1 Feb 2006 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Feb 2006 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Feb 2006 to 12 Nov 2019)

Recent activity

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

No changes recorded yet.