BROWN BROTHERS HARRIMAN INVESTOR SERVICES LTD.

Date authorised
1 April 2013
Companies House
03720188
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Floor 8
    10 Exchange Square
    London
    EC2A 2BR
    UNITED KINGDOM
    Phone
    +442075886166
    Web
    https://www.bbh.com

  • Complaints Contact

    Floor 8
    10 Exchange Square
    London
    EC2A 2BR
    UNITED KINGDOM
    Phone
    +442075886166

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

    Show 1 limitation
    • · 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, 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, Unit, Warrant

  • Investment Setup

    For Eligible Counterparty, Professional, 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Albert John Collins

    IRN AJC01307

    • CF11 Money Laundering Reporting (1 Dec 2001 to 31 May 2003)
  • Andrew Colin Craswell

    IRN ACC01159

    • CF30 Customer (4 Nov 2011 to 1 Jul 2014)
  • Andrew James Francis Tucker

    IRN AJT01141

    • CF1 Director (30 Sep 2011 to 22 May 2012)
    • CF3 Chief Executive (1 Dec 2001 to 4 Jan 2010)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • Andrew Victor Denham

    IRN AVD01009

    • CF30 Customer (1 Nov 2007 to 3 Sep 2013)
    • CF26 Customer Trading (15 Oct 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (25 Mar 2004 to 31 Oct 2007)
  • Aoibhinn Ann-Marie Hashemi

    IRN AAH01041

    • CF22 Investment Adviser (Trainee) (12 Jan 2005 to 14 Apr 2005)
  • Charles John Bradford

    IRN CXB00740

    • [FCA CF] Material risk taker (9 Jan 2023 to 23 Jul 2024)
    • [FCA CF] Client dealing (9 Jan 2023 to 23 Jul 2024)
  • Christine McKeown

    IRN CXM01006

    • [FCA CF] Material risk taker (1 Jan 2024 to 30 Oct 2024)
  • Christopher Cully

    IRN CTC01033

    • [FCA CF] Material risk taker (9 Dec 2020 to 25 Mar 2022)
    • [FCA CF] Client dealing (9 Dec 2020 to 25 Mar 2022)
    • CF30 Customer (16 Dec 2015 to 8 Dec 2019)
  • Christopher McCabe

    IRN CXM02732

    • CF28 Systems and controls (10 Oct 2017 to 8 Dec 2019)
  • Christopher Neil Averill Gothard

    IRN CNG01009

    • SMF9 Chair of the Governing Body (since 4 Dec 2023)
    • SMF1 Chief Executive (9 Dec 2019 to 4 Dec 2023)
    • SMF3 Executive Director (9 Dec 2019 to 4 Dec 2023)
    • CF3 Chief Executive (23 Feb 2018 to 8 Dec 2019)
    • CF1 Director (8 Dec 2016 to 8 Dec 2019)
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Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.