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.

  • Samantha Jane Peppiatt

    IRN SJP01174

    • SMF16 Compliance Oversight (since 23 Dec 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jul 2019 to 8 Dec 2019)
  • Samuel Gary Cairns

    IRN SGC01063

    • CF26 Customer Trading (30 Nov 2004 to 28 Jul 2005)
  • Sarah Jane O'Donnell

    IRN SJO01115

    • SMF1 Chief Executive (since 16 Oct 2023)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (26 Feb 2018 to 8 Dec 2019)
  • Sean Pairceir

    IRN SXP01863

    • 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 (5 Jul 2010 to 8 Dec 2019)
  • Sebastian Lee Hall

    IRN SXH10624

    • [FCA CF] Manager of certification employee (15 Feb 2023 to 17 Mar 2023)
    • [FCA CF] Material risk taker (9 Dec 2020 to 17 Mar 2023)
    • [FCA CF] Client dealing (9 Dec 2020 to 17 Mar 2023)
    • CF30 Customer (28 Jan 2019 to 8 Dec 2019)
  • Semanur Acar

    IRN SXA00651

    • [FCA CF] Material risk taker (since 6 Sep 2022)
    • [FCA CF] Client dealing (since 6 Sep 2022)
  • Shane Farley

    IRN SXF01513

    • CF30 Customer (30 Sep 2011 to 1 Jul 2014)
  • Stephan, Rene, Hermann Jeandey

    IRN SRJ01053

    • CF28 Systems and controls (11 Mar 2011 to 28 Jul 2014)
  • Steven Mornelli

    IRN SXM02876

    • CF30 Customer (20 Feb 2012 to 17 Aug 2012)
  • Steven Paul Drew Frost

    IRN SPF01056

    • CF30 Customer (1 Nov 2007 to 12 Apr 2013)
    • CF26 Customer Trading (23 Jul 2007 to 31 Oct 2007)
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Recent activity

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

No changes recorded yet.