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.

  • Mark Steven Balcom

    IRN MSB01127

    • CF1 Director (7 Apr 2008 to 3 Oct 2008)
    • CF28 Systems and controls (1 Nov 2007 to 7 Apr 2008)
    • CF13 Finance (27 Jun 2006 to 31 Oct 2007)
  • Maroa del Carmen Velez

    IRN MDV00010

    • CF1 Director (24 May 2011 to 16 Mar 2012)
    • CF28 Systems and controls (26 Feb 2010 to 28 Jul 2014)
  • Matthew Ives

    IRN MXI01031

    • CF30 Customer (1 Apr 2011 to 30 Dec 2016)
  • Matthew Paul Macdonald

    IRN MPM01149

    • [FCA CF] Client dealing (9 Dec 2020 to 12 Aug 2022)
    • [FCA CF] Material risk taker (9 Dec 2020 to 12 Aug 2022)
    • CF30 Customer (26 May 2017 to 8 Dec 2019)
  • Matthew Stevens

    IRN MXS03244

    • CF10 Compliance Oversight (8 Feb 2013 to 23 Mar 2019)
    • CF11 Money Laundering Reporting (8 Feb 2013 to 23 Mar 2019)
  • Matthew Van Dyckhoff

    IRN MXV01089

    • CF30 Customer (22 Nov 2010 to 19 Apr 2013)
  • Mehtap Numanoglu Tasiopoulos

    IRN MXN01441

    • CF28 Systems and controls (29 Oct 2010 to 8 Dec 2019)
  • Michelle Whisker

    IRN MXW02277

    • CF28 Systems and controls (20 Oct 2015 to 12 Aug 2019)
  • Nicole Dawn Wright

    IRN NDW01050

    • CF11 Money Laundering Reporting (24 Jul 2008 to 28 Nov 2011)
    • CF10 Compliance Oversight (17 Jan 2006 to 18 Feb 2008)
  • Nils Patrick Cullen

    IRN NPC01076

    • CF28 Systems and controls (27 Oct 2010 to 10 Feb 2011)
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Recent activity

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

No changes recorded yet.