CHARLES SCHWAB, U.K., LIMITED

Date authorised
1 April 2013
Companies House
04709153
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • 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

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, 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Delmi Davies

    IRN DXD01360

    • [FCA CF] Significant management (19 Dec 2019 to 6 Dec 2021)
    • CF10a CASS Oversight function (26 Jan 2018 to 8 Dec 2019)
  • Donald Grover Rodich

    IRN DGR01064

    • CF28 Systems and controls (1 Nov 2007 to 17 Jun 2010)
    • CF1 Director (26 Mar 2007 to 4 Nov 2010)
    • CF13 Finance (26 Mar 2007 to 31 Oct 2007)
  • Eamon Twomey

    IRN EXT30149

    • SMF3 Executive Director (26 May 2020 to 1 Dec 2023)
  • Georg Andreas Friedrich Lorenz

    IRN GAL01076

    • CF1 Director (14 Jun 2010 to 24 Feb 2012)
    • CF28 Systems and controls (14 Jun 2010 to 24 Feb 2012)
  • Gertjan Scholts

    IRN GXS01457

    • CF3 Chief Executive (16 Feb 2004 to 12 Nov 2004)
    • CF8 Apportionment and Oversight (16 Feb 2004 to 12 Nov 2004)
  • Glen David Eels

    IRN GDE01011

    • [FCA CF] Client dealing (19 Dec 2019 to 21 Jan 2022)
  • Herbert Stephan Spangenberg

    IRN HSS01022

    • SMF3 Executive Director (9 Dec 2019 to 19 Dec 2019)
    • CF3 Chief Executive (12 Nov 2004 to 9 Sep 2019)
    • CF1 Director (27 Sep 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (26 Jan 2004 to 20 Apr 2004)
  • Ian David Perrett

    IRN IDP01025

    • CF26 Customer Trading (15 Aug 2003 to 26 Apr 2004)
    • CF11 Money Laundering Reporting (15 Aug 2003 to 26 Apr 2004)
    • CF10 Compliance Oversight (15 Aug 2003 to 26 Apr 2004)
  • Jonathan Cooper

    IRN JXC03324

    • [FCA CF] Client dealing (since 6 Feb 2025)
  • Jordan David Olivier

    IRN JDO01036

    • CF28 Systems and controls (1 Feb 2012 to 10 Apr 2013)
    • CF1 Director (1 Feb 2012 to 10 Apr 2013)
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Recent activity

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

No changes recorded yet.