Bank of America Europe DAC

• Principal Place of Business

  2 King Edward Street

  London

  City Of London

  EC1A 1HQ

  UNITED KINGDOM

  Phone

  +4402076281000

  Web

  https://business.bofa.com/uk/en/about-us.html

• Complaints Contact

  Bank of America

  2 King Edward Street

  London

  EC1A 1HQ

  UNITED KINGDOM

  Phone

  +4402076281000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, 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, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, 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.

• John Whelan

  IRN JXW00141

  • [FCA CF] Material risk taker (1 Nov 2023 to 2 Oct 2024)
• Jon Klein

  IRN KXJ00238

  • [FCA CF] Significant management (22 Sep 2025 to 15 Oct 2025)
• Juan Vilarino Rumeu

  IRN JXV01183

  • [FCA CF] Significant management (8 Aug 2025 to 15 Oct 2025)
• Ka Man Lau

  IRN KXL00187

  • [FCA CF] Material risk taker (1 Nov 2023 to 2 Oct 2024)
• Kamaru Alofoje

  IRN KKA01010

  • [FCA CF] Client dealing (since 1 Nov 2023)
  • [FCA CF] Manager of certification employee (since 1 Nov 2023)
• Kanwardeep Ahluwalia

  IRN KSA01005

  • [FCA CF] Significant management (since 13 Oct 2025)
  • [FCA CF] Material risk taker (1 Nov 2023 to 2 Oct 2024)
  • [FCA CF] Manager of certification employee (1 Nov 2023 to 14 Jul 2025)
• Karli Denier

  IRN KXD00277

  • [FCA CF] Material risk taker (1 Nov 2023 to 2 Oct 2024)
• Katy Coles

  IRN KXC00057

  • [FCA CF] Material risk taker (1 Nov 2023 to 2 Oct 2024)
• Kenneth Zoeller

  IRN KXZ00004

  • [FCA CF] Material risk taker (1 Nov 2023 to 4 Oct 2024)
• Kevin Davies

  IRN KXD00041

  • [FCA CF] Material risk taker (1 Nov 2023 to 2 Oct 2024)

No changes recorded yet.