AJ Bell Securities Limited

FRN: 155593•authorised•Profile Score

Company Status

N/A

Registration No.

N/A

Incorporated

N/A

Registered Address

Not Available

Regulatory Permissions

14 permissions across 2 categories

Markets in Financial Instruments Directive4 permissions

A1 - Receive/Transmit ordersA2 - Execution of ordersA5 - Investment adviceA7 - Placing of fin instr w/o commitment

Designated Investment Business10 permissions

Dealing in investments as agentArranging deals in investmentsMaking arrangementsSafeguarding and administration of assetsArranging safeguarding and administration of assetSending dematerialised instructionsCausing dematerialised instructions to be sentAgreeing to carry on a regulated activityAdvising (ex Pension Transfers/Opt Outs)Advising on P2P agreements

Registered Individuals (14)

Full Name	Role	Status
Robin Cummins	[FCA CF] CASS oversight function	Approved
Lesley Joy Mitchell	[FCA CF] Significant management	Approved
Fiona Jane Clutterbuck	SMF13 Chair of the Nominations Committee	Approved
Fiona Christina Fry	SMF14 Senior Independent Director	Approved
Eamonn Michael Flanagan	SMF11 Chair of the Audit Committee	Approved
Margaret Hassall	SMF12 Chair of the Remuneration Committee	Approved
Peter Michael Birch	SMF24 Chief Operations	Approved
Elizabeth Anne Carrington	SMF3 Executive Director	Approved
Nicholas Michael Carrington	[FCA CF] Significant management	Approved
Colette Osullivan Kirkpatrick	[FCA CF] Significant management	Approved

View all 14 registered individuals →

Enforcement History (0)

No enforcement actions have been identified for this firm.