Bank of America, N.A.

• Principal Place of Business

  2 King Edward St

  London

  EC1A 1HQ

  UNITED KINGDOM

  Phone

  +4402076281000

  Web

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

• Complaints Contact

  2 King Edward St

  London

  EC1A 1HQ

  UNITED KINGDOM

  Phone

  +442076281000

• Bank Deposits

  For Eligible Counterparty, Professional, Deposit

• 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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 Hide limitations

  • · 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" 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, 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), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Emissions Allowance, 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, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Alternative Debenture, 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), Future (excluding a commodity future and a rolling spot forex contract), 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), Spread Bet, Unit

  Show 1 limitation Hide limitations

  • · 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, 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), Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" 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, 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), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Brian Sinclair Robertson

  IRN BSR01006

  • CF30 Customer (1 Nov 2007 to 4 Mar 2009)
  • CF21 Investment Adviser (21 Oct 2004 to 31 Oct 2007)
• Brian Weinstein

  IRN BKW01018

  • SMF22 Other Local Responsibility (since 13 Feb 2025)
  • [FCA CF] Algorithmic trading (30 Sep 2024 to 13 Feb 2025)
  • [FCA CF] Client dealing (7 Sep 2016 to 13 Feb 2025)
  • [FCA CF] Significant management (7 Mar 2016 to 13 Feb 2025)
  • [FCA CF] Material risk taker (7 Mar 2016 to 13 Feb 2025)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 13 Feb 2025)
  • CF30 Customer (21 Jul 2014 to 6 Mar 2016)
• Brice Rosenzweig

  IRN BXR00041

  • [FCA CF] Algorithmic trading (since 24 Feb 2017)
  • [FCA CF] Manager of certification employee (since 7 Mar 2016)
  • [FCA CF] Significant management (since 7 Mar 2016)
  • [FCA CF] Material risk taker (since 7 Mar 2016)
• Brice Tahmazian

  IRN BXT00310

  • [FCA CF] Material risk taker (since 26 Nov 2021)
  • [FCA CF] Algorithmic trading (since 26 Nov 2021)
• Britt Jacobs

  IRN BXJ00035

  • [FCA CF] Client dealing (13 Sep 2019 to 2 Sep 2022)
• Brooke Wachtel

  IRN BXW01330

  • [FCA CF] Material risk taker (since 21 Jan 2020)
  • [FCA CF] Significant management (since 5 Mar 2019)
  • [FCA CF] Client dealing (24 Feb 2017 to 25 Feb 2020)
  • CF30 Customer (21 Jul 2009 to 20 Jun 2012)
• Brooks Stevens

  IRN BXS01162

  • [FCA CF] Client dealing (10 Jan 2017 to 18 May 2021)
  • [FCA CF] Material risk taker (10 Jan 2017 to 16 Sep 2021)
  • [FCA CF] Manager of certification employee (7 Mar 2016 to 16 Sep 2021)
• Bruce Gomme

  IRN BXG00031

  • [FCA CF] Material risk taker (14 Sep 2016 to 22 Oct 2025)
• Bruce MacKenzie

  IRN BXM01197

  • CF30 Customer (6 Aug 2013 to 6 Mar 2016)
• Bruce Richard William Rayfield

  IRN BRR01018

  • [FCA CF] Material risk taker (since 5 Jan 2026)

No changes recorded yet.