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.

  • Karen Patricia Jackson

    IRN KPJ01007

    • CF29 Significant management (1 Nov 2007 to 27 Mar 2008)
    • CF20 Significant Mgt (Settlements) (17 Jan 2006 to 31 Oct 2007)
  • Kathryn Carolyn George

    IRN KCG01028

    • CF28 Systems and controls (23 Feb 2010 to 28 Jul 2014)
  • Katie Anne Dowd

    IRN KAB01066

    • CF30 Customer (1 Nov 2007 to 6 May 2009)
    • CF26 Customer Trading (28 Nov 2006 to 31 Oct 2007)
  • Kelly Lee

    IRN KXL01260

    • CF30 Customer (1 Nov 2007 to 20 Apr 2011)
    • CF26 Customer Trading (3 Sep 2007 to 31 Oct 2007)
  • Kenneth Lemare Hartlage

    IRN KLH01045

    • CF8 Apportionment and Oversight (30 Mar 2004 to 14 Apr 2005)
    • CF3 Chief Executive (30 Mar 2004 to 14 Apr 2005)
    • CF1 Director (30 Mar 2004 to 1 Jan 2006)
  • Kevin John Doy

    IRN KJD01095

    • CF30 Customer (24 Jun 2013 to 7 Apr 2014)
    • CF26 Customer Trading (7 Dec 2006 to 31 Oct 2007)
  • Kevin Stone

    IRN KXS01631

    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2020)
    • SMF9 Chair of the Governing Body (9 Dec 2019 to 9 Dec 2020)
    • CF1 Director (6 Feb 2009 to 8 Dec 2019)
  • Kieran Chard

    IRN KXC00165

    • [FCA CF] Client dealing (since 16 Aug 2023)
    • [FCA CF] Material risk taker (since 16 Aug 2023)
  • Kristen Margaret Giarrusso

    IRN KMG01051

    • CF1 Director (30 Apr 2012 to 12 Mar 2015)
  • Linda Debbiche

    IRN LXD01105

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

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

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