BROWN BROTHERS HARRIMAN INVESTOR SERVICES LTD.

• 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

• 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, 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 Hide limitations

  • · 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 Hide 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.

• Frank Michael Welpa

  IRN FMW01009

  • CF1 Director (1 Dec 2001 to 31 May 2003)
  • CF10 Compliance Oversight (1 Dec 2001 to 31 May 2003)
• Geoffrey James Mills

  IRN GJM01094

  • CF30 Customer (8 Apr 2011 to 3 Oct 2012)
• Geoffrey Mackenzie Cook

  IRN GMC01144

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 1 Oct 2023)
  • CF2 Non Executive Director (6 Nov 2019 to 8 Dec 2019)
  • CF1 Director (14 Jun 2011 to 6 Nov 2019)
• Graham James Venn

  IRN GJV01014

  • CF20 Significant Mgt (Settlements) (3 Dec 2003 to 1 Jan 2006)
• Guillermo Loriente Elio

  IRN GXL00350

  • [FCA CF] Manager of certification employee (since 11 Jul 2025)
  • [FCA CF] Significant management (since 11 Jul 2025)
  • [FCA CF] Material risk taker (since 11 Jul 2025)
• Helen Corr

  IRN HJS01078

  • CF30 Customer (1 Nov 2007 to 23 Apr 2010)
  • CF26 Customer Trading (7 Aug 2007 to 31 Oct 2007)
• Ilan Ben Solot

  IRN IBS01014

  • CF30 Customer (17 Jan 2011 to 3 Dec 2015)
• Jade Shreena Buckley

  IRN JXB23537

  • [FCA CF] Client dealing (9 Dec 2020 to 24 Dec 2021)
  • [FCA CF] Material risk taker (9 Dec 2020 to 24 Dec 2021)
  • CF30 Customer (11 Nov 2019 to 8 Dec 2019)
• Jason David Hutt

  IRN JDH01156

  • [FCA CF] Manager of certification employee (1 Jun 2023 to 13 May 2025)
  • [FCA CF] Client dealing (9 Dec 2020 to 13 May 2025)
  • [FCA CF] Material risk taker (9 Dec 2020 to 13 May 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (27 Mar 2006 to 31 Oct 2007)
• Jean-Marc Luc Crepin

  IRN JLC01168

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2020 to 1 Oct 2023)
  • SMF9 Chair of the Governing Body (9 Dec 2019 to 9 Dec 2019)
  • CF1 Director (19 Jan 2016 to 8 Dec 2019)

No changes recorded yet.