BERNSTEIN AUTONOMOUS LLP

• Principal Place of Business

  60 London Wall

  London

  EC2M 5SH

  UNITED KINGDOM

  Phone

  +4402077621000

  Web

  https://www.bernsteinresearch.com

• Complaints Contact

  60 London Wall

  London

  EC2M 5SH

  UNITED KINGDOM

  Phone

  +4402076768073

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  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 (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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, 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, 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.

• Stockbroking

  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 (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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, 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, Warrant

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  • · May only deal on own account in MiFID financial instruments for the purpose of (i) fulfilling or executing a client order or (ii) gaining entrance to a clearing and settlement system or a recognised exchange when acting in an agency capacity or executing a client order.
  • · 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, 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, 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.

• Joanna Clare Green

  IRN JCG01151

  • SMF2 Chief Finance (6 Feb 2021 to 31 Mar 2024)
  • [FCA CF] Material risk taker (1 Jan 2021 to 1 Apr 2024)
• Joanna Stephanie Patricia CHICHESTER-CLARK

  IRN JXC01074

  • [FCA CF] Client dealing (since 1 Apr 2024)
• Joel Esciua

  IRN JXE01114

  • CF30 Customer (21 Jun 2017 to 1 Oct 2019)
  • CF4 Partner (21 Jun 2017 to 1 Oct 2019)
• John Karl

  IRN JXK00271

  • [FCA CF] Client dealing (2 Jun 2021 to 13 Dec 2024)
• John Kreitler

  IRN JXK12633

  • [FCA CF] Client dealing (1 Jan 2021 to 4 Nov 2021)
• John Richmond McConnell

  IRN JRM01105

  • SMF27 Partner (6 Feb 2021 to 1 Apr 2023)
  • [FCA CF] Client dealing (1 Jan 2021 to 3 Jul 2023)
  • [FCA CF] Material risk taker (1 Jan 2021 to 3 Jul 2023)
• Jonathan Graham Firkins

  IRN JGF01036

  • CF28 Systems and controls (9 Jul 2015 to 1 Apr 2019)
  • CF11 Money Laundering Reporting (30 Jul 2009 to 1 Mar 2012)
  • CF4 Partner (30 Jul 2009 to 1 Apr 2019)
  • CF30 Customer (30 Jul 2009 to 1 Apr 2019)
  • CF10 Compliance Oversight (30 Jul 2009 to 1 Mar 2012)
• Jonathan Paul Bowen

  IRN JPB00123

  • CF4 Partner (19 Aug 2014 to 10 Jul 2015)
  • CF30 Customer (13 May 2013 to 10 Jul 2015)
• Jonathan Stephen Leinster

  IRN JSL01040

  • [FCA CF] Client dealing (1 Apr 2024 to 19 Apr 2024)
• Jonathan William Mortimer Hendry

  IRN JWM01162

  • CF30 Customer (24 Jan 2018 to 8 Aug 2018)

• Procensus Limited (no longer appointed)

  FRN 758164 · Appointed 9 Sep 2016 · Until 1 Oct 2017

No changes recorded yet.