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.

  • Lorrie Gordon

    IRN LXG00307

    • Director of firm who is not a certification employee or a SMF manager (since 1 Oct 2023)
  • Luke Edward Bevis

    IRN LEB01026

    • CF30 Customer (18 Jul 2011 to 1 Jul 2014)
  • Lyndon Terence Turner

    IRN LTT01008

    • CF11 Money Laundering Reporting (5 Dec 2011 to 1 Jun 2012)
    • CF10 Compliance Oversight (14 Mar 2008 to 24 Jun 2008)
  • Mahnaz Ahmed

    IRN MXA01792

    • CF30 Customer (7 Jan 2008 to 6 May 2009)
  • Marcus John Doherty

    IRN MJD01399

    • SMF16 Compliance Oversight (9 Dec 2019 to 20 Apr 2021)
    • CF10 Compliance Oversight (3 Jun 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (21 Jun 2012 to 4 Feb 2013)
  • Marcus Richard MacMillan

    IRN MRM01068

    • CF30 Customer (5 Dec 2007 to 10 Feb 2014)
  • Marianne Felici

    IRN MXF01140

    • CF27 Investment Management (1 Dec 2001 to 1 May 2003)
  • Mario Marco Di Marco

    IRN MMD01046

    • CF1 Director (14 Apr 2010 to 30 Nov 2011)
  • Mark David Whitehead

    IRN MDW01104

    • [FCA CF] Significant management (16 Jan 2024 to 27 Feb 2025)
    • [FCA CF] Manager of certification employee (9 Dec 2020 to 27 Feb 2025)
    • [FCA CF] Material risk taker (9 Dec 2020 to 27 Feb 2025)
    • [FCA CF] Client dealing (9 Dec 2020 to 27 Feb 2025)
    • CF30 Customer (27 Oct 2010 to 8 Dec 2019)
  • Mark Laurence French

    IRN MLF01051

    • CF30 Customer (27 May 2014 to 7 Jul 2016)
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Recent activity

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

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