CHARLES SCHWAB, U.K., LIMITED

• Principal Place of Business

  33 Ludgate Hill

  London

  EC4M 7JN

  UNITED KINGDOM

  Phone

  +4402037952704

  Web

  https://www.schwab.co.uk

• Complaints Contact

  33 Ludgate Hill

  London

  EC4M 7JN

  UNITED KINGDOM

  Phone

  +4402037952705

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Credit Brokering

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Alexandria Hochstetler

  IRN AXH00584

  • [FCA CF] Client dealing (24 Sep 2021 to 8 Nov 2024)
• Andrew Macritchie

  IRN AXM05482

  • [FCA CF] Client dealing (since 29 Jan 2025)
• Arthur Nicholson

  IRN AXN00427

  • [FCA CF] Client dealing (since 4 Mar 2025)
• Ben Lightfoot

  IRN BXL00056

  • [FCA CF] Client dealing (1 Dec 2020 to 22 Apr 2021)
• Carrie Louise Dolan

  IRN CLD01034

  • CF1 Director (17 Aug 2007 to 17 Aug 2007)
• Catharine McCarthy

  IRN CXM00228

  • [FCA CF] Client dealing (19 Dec 2019 to 2 Jul 2021)
• Christy Silvanic

  IRN CXS02314

  • SMF3 Executive Director (9 Dec 2019 to 15 Jan 2020)
  • CF1 Director (13 Jan 2016 to 8 Dec 2019)
• Cordelia Mi-Ra Yoon-Miranda

  IRN CMY01016

  • CF10 Compliance Oversight (13 Dec 2017 to 21 Feb 2019)
  • CF11 Money Laundering Reporting (13 Dec 2017 to 21 Feb 2019)
• David O'Keeffe

  IRN DXO00184

  • [FCA CF] Client dealing (since 7 Mar 2024)
• David Robert Martin

  IRN DRM01126

  • CF1 Director (15 Aug 2003 to 31 May 2005)

No changes recorded yet.