Brookfield Global Business Advisor Limited

• Principal Place of Business

  Level 25

  1 Canada Square

  London

  E14 5AA

  UNITED KINGDOM

  Phone

  +442076593500

  Web

  https://www.brookfield.com

• Complaints Contact

  Level 25

  1 Canada Square

  London

  E14 5AA

  UNITED KINGDOM

  Phone

  +442076593500

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Debenture, 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

  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, Debenture, 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

  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, Debenture, 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

  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.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Debenture, 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

  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 Professional, Debenture, 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

  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.

• Philippa Louise Elder

  IRN PXE01231

  • [FCA CF] Material risk taker (since 11 Mar 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF1 Director (24 May 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (24 May 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (24 May 2017 to 8 Dec 2019)
• Ralf Niklas Rank

  IRN RNR01022

  • [FCA CF] Client dealing (11 Mar 2021 to 21 Feb 2023)
  • [FCA CF] Manager of certification employee (11 Mar 2021 to 21 Feb 2023)
  • [FCA CF] Material risk taker (11 Mar 2021 to 21 Feb 2023)
  • SMF3 Executive Director (9 Dec 2019 to 21 Feb 2023)
  • CF30 Customer (24 May 2017 to 8 Dec 2019)
  • CF1 Director (24 May 2017 to 8 Dec 2019)
• Reinis Krams

  IRN RXK00128

  • [FCA CF] Client dealing (since 11 Mar 2021)
• Rohinton Minoo Kalifa

  IRN RMK01054

  • [FCA CF] Manager of certification employee (since 2 Mar 2026)
  • [FCA CF] Client dealing (since 21 Nov 2023)
• Sara Beroiz

  IRN SXB01028

  • [FCA CF] Client dealing (since 14 Mar 2025)
• Sean McLaughlan

  IRN SXM04718

  • [FCA CF] Manager of certification employee (since 2 Mar 2026)
  • [FCA CF] Client dealing (since 17 Apr 2025)
• Serge Toppjian

  IRN SXT00906

  • [FCA CF] Client dealing (since 16 Apr 2026)
  • [FCA CF] Manager of certification employee (since 16 Apr 2026)
• Sikander Rashid

  IRN SXR00408

  • SMF3 Executive Director (since 16 Jan 2023)
• Sinead Oliver

  IRN SXO00197

  • [FCA CF] Client dealing (16 Feb 2023 to 31 Jul 2025)
• Sofia Kechemir

  IRN SXK62164

  • [FCA CF] Client dealing (5 Aug 2021 to 24 Sep 2021)

No changes recorded yet.