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.

  • Joseph Raymond Martinetto

    IRN JRM01231

    • CF1 Director (7 Nov 2005 to 17 Aug 2007)
  • KASHIF BAIG

    IRN KXB11264

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (20 Feb 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Feb 2019 to 8 Dec 2019)
  • Kulvinder Singh Samra

    IRN KSS01029

    • CF10a CASS Oversight function (27 Jun 2017 to 28 Feb 2018)
    • CF1 Director (1 Oct 2014 to 18 Apr 2019)
  • Larry Yu

    IRN LXY01011

    • CF1 Director (15 Aug 2003 to 17 Jun 2005)
  • Lawrence Richmond

    IRN LXR00418

    • [FCA CF] Client dealing (since 17 Oct 2025)
  • Leif Alan Langensand

    IRN LAL01024

    • CF13 Finance (11 Aug 2004 to 21 Sep 2005)
  • Mark Harry Wellnitz Baltimore

    IRN MHB01073

    • CF1 Director (1 Oct 2014 to 12 Jun 2015)
  • Melanie Anne Hardin

    IRN MAH01248

    • CF3 Chief Executive (15 Aug 2003 to 24 Feb 2004)
    • CF8 Apportionment and Oversight (15 Aug 2003 to 24 Feb 2004)
    • CF1 Director (15 Aug 2003 to 10 Sep 2004)
  • Michael Adam Wilson

    IRN MAW01332

    • [FCA CF] Client dealing (19 Dec 2019 to 27 May 2022)
  • Michael Canady

    IRN MXC29105

    • SMF3 Executive Director (26 May 2020 to 1 Dec 2023)
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Recent activity

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

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