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.

• Alice Rose Buckley

  IRN AXB01227

  • [FCA CF] Client dealing (since 6 Dec 2022)
• Alison Seung-Yeon Oh

  IRN AXO00083

  • [FCA CF] Client dealing (16 Aug 2022 to 19 Feb 2024)
• Alla Arkadyevna Harmsworth

  IRN AAG01018

  • [FCA CF] Client dealing (1 Jan 2021 to 20 Jun 2022)
• Allen Frank Arthur Clements

  IRN AFC01026

  • [FCA CF] Material risk taker (1 Jan 2021 to 28 Feb 2021)
  • SMF18 Other Overall Responsibility (3 Mar 2020 to 1 Feb 2021)
• Almario Sulaj

  IRN AXS04988

  • [FCA CF] Client dealing (24 May 2024 to 19 Dec 2025)
• Amar Modi

  IRN AXM21274

  • [FCA CF] Client dealing (1 Jan 2021 to 10 May 2023)
• Ammir Jeffrey Naqvi

  IRN AXN01496

  • [FCA CF] Client dealing (1 Apr 2024 to 12 Jul 2024)
• Amy Christiane Davies

  IRN ACD01155

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (30 Jan 2017 to 8 Dec 2019)
• Andreas Constantinides

  IRN AXC00902

  • [FCA CF] Client dealing (since 30 Sep 2022)
• Andreas Karl Vollmer

  IRN AKV00008

  • [FCA CF] Manager of certification employee (since 1 Apr 2024)
  • [FCA CF] Material risk taker (since 1 Mar 2024)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF4 Partner (28 Aug 2009 to 8 Dec 2019)
  • CF30 Customer (28 Aug 2009 to 8 Dec 2019)

• Procensus Limited (no longer appointed)

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

No changes recorded yet.