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.

  • Rhett Charles Bratt

    IRN RCB01138

    • CF1 Director (26 Mar 2013 to 15 Jan 2016)
    • CF28 Systems and controls (26 Mar 2013 to 15 Jan 2016)
    • CF13 Finance (15 Aug 2003 to 19 Aug 2004)
  • Richard John Flynn

    IRN RJF01146

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF1 Director (4 Mar 2019 to 8 Dec 2019)
  • Ryan Miller

    IRN RXM00743

    • [FCA CF] Client dealing (12 Oct 2022 to 26 Apr 2023)
  • Sandro Luis Ramos

    IRN SLR01039

    • CF10 Compliance Oversight (15 Aug 2003 to 23 Nov 2003)
  • Shaun Pratley

    IRN SXP01197

    • CF8 Apportionment and Oversight (19 Sep 2003 to 26 Jan 2004)
  • Simon Trayton Phelps

    IRN STP01024

    • CF10 Compliance Oversight (1 Feb 2016 to 13 Jun 2018)
    • CF11 Money Laundering Reporting (1 Feb 2016 to 13 Jun 2018)
  • Simone Gay Porter

    IRN SGP01059

    • CF30 Customer (1 Nov 2007 to 24 Mar 2016)
    • CF10 Compliance Oversight (26 Apr 2004 to 31 Jan 2016)
    • CF26 Customer Trading (26 Apr 2004 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (26 Apr 2004 to 31 Jan 2016)
  • Sonja Kerstin Velez

    IRN SKV01009

    • CF1 Director (26 Apr 2006 to 17 Apr 2007)
    • CF13 Finance (26 Jan 2006 to 17 Apr 2007)
  • Sumati Bammi

    IRN SXB04122

    • [FCA CF] Client dealing (since 23 Oct 2025)
  • Suresh Kumar Bhat

    IRN SKB01052

    • CF1 Director (1 Nov 2005 to 13 Jan 2006)
    • CF13 Finance (19 Sep 2005 to 13 Jan 2006)
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Recent activity

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

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