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.

• Orla Foley

  IRN OXF00037

  • Director of firm who is not a certification employee or a SMF manager (since 1 Oct 2023)
• Paul David Charles Lockey

  IRN PDL01060

  • CF30 Customer (1 Nov 2007 to 18 Feb 2008)
  • CF26 Customer Trading (28 Nov 2006 to 31 Oct 2007)
• Peter Llewellyn Walker

  IRN PLW01037

  • CF13 Finance (19 Sep 2005 to 21 May 2006)
• Richard James Blakemore

  IRN RJB01445

  • CF30 Customer (1 Nov 2007 to 6 May 2008)
  • CF26 Customer Trading (31 Aug 2007 to 31 Oct 2007)
• Richard Marshall

  IRN RJM01386

  • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
  • CF26 Customer Trading (18 May 2006 to 31 Oct 2007)
• Richard William Fodder

  IRN RWF01027

  • SMF3 Executive Director (9 Dec 2019 to 15 Dec 2020)
  • CF10a CASS Oversight function (1 Oct 2011 to 9 Feb 2015)
  • CF3 Chief Executive (26 Jan 2010 to 19 Feb 2018)
  • CF1 Director (20 Jun 2007 to 8 Dec 2019)
• Ricky James Leon Ellis

  IRN RJE01145

  • [FCA CF] Material risk taker (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Manager of certification employee (since 9 Dec 2020)
  • CF30 Customer (3 Feb 2014 to 8 Dec 2019)
• Robert Andrew Lees

  IRN RAL01108

  • SMF3 Executive Director (16 Oct 2023 to 8 Oct 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2020 to 27 Nov 2023)
  • [FCA CF] Client dealing (9 Dec 2020 to 27 Nov 2023)
  • [FCA CF] Material risk taker (9 Dec 2020 to 27 Nov 2023)
  • [FCA CF] Significant management (9 Dec 2020 to 27 Nov 2023)
  • CF30 Customer (26 Jun 2013 to 8 Dec 2019)
  • CF26 Customer Trading (25 Oct 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (25 Mar 2004 to 31 Oct 2007)
• Ryan George Tierney

  IRN RXT00359

  • [FCA CF] Client dealing (6 Sep 2023 to 28 Aug 2025)
  • [FCA CF] Material risk taker (6 Sep 2023 to 28 Aug 2025)
• Saeid Attarian

  IRN SXA02262

  • CF30 Customer (23 Nov 2012 to 23 Aug 2013)

No changes recorded yet.