BROWN BROTHERS HARRIMAN INVESTOR SERVICES LTD.

Date authorised
1 April 2013
Companies House
03720188
Last scraped
3 weeks ago
Watch for changes

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.

  • William Ernest Rosensweig

    IRN WER01012

    • CF29 Significant management (1 Nov 2007 to 9 Sep 2008)
    • CF17 Significant Mgt (Other Business Operations) (4 Oct 2005 to 31 Oct 2007)
  • William George Conde

    IRN WGC01021

    • CF1 Director (18 Jun 2003 to 6 Apr 2009)
    • CF10 Compliance Oversight (5 Jun 2003 to 1 Jan 2006)
    • CF11 Money Laundering Reporting (5 Jun 2003 to 1 Jan 2006)
  • Yong-Kuong Ly

    IRN YXL01029

    • CF30 Customer (1 Apr 2011 to 17 Aug 2012)

Recent activity

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

No changes recorded yet.