FIS Global Execution Services Limited

• Principal Place of Business

  FIS

  The Walbrook Building

  25 Walbrook

  London

  City Of London

  EC4N 8AF

  UNITED KINGDOM

  Phone

  +4402080812010

• Complaints Contact

  The Walbrook Building

  25 Walbrook

  London

  EC4N 8AF

  UNITED KINGDOM

  Phone

  +4402080812010

• Investment Advice (no pensions)

  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, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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

• 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, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, 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)" is limited to the investment types granted for this activity.

• 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, Government and public security, 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)" is limited to the investment types granted for this activity.

• Rajiv Malkani

  IRN RMM30946

  • [FCA CF] Client dealing (13 Jan 2020 to 31 Dec 2021)
• Rajvinder Johal

  IRN RXJ07256

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Feb 2021)
• Ralston Roberts Jr

  IRN RXR01549

  • CF30 Customer (31 Oct 2012 to 3 Jul 2015)
• Robert Santella

  IRN RXS02502

  • CF1 Director (27 Feb 2014 to 4 Apr 2018)
• Ronald Vallow Jr.

  IRN RXV01198

  • CF10a CASS Oversight function (6 Nov 2012 to 31 May 2019)
• Stephanie Ann Mayo

  IRN SAM01430

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 30 Jun 2023)
  • CF1 Director (10 May 2018 to 2 Mar 2020)
• Stephen Cantalupo

  IRN SXC02339

  • CF30 Customer (19 Oct 2012 to 31 Mar 2016)
• Steven Kraus

  IRN SXK02416

  • CF30 Customer (19 May 2015 to 31 Mar 2017)
• Todd Moyer

  IRN TXM01739

  • CF30 Customer (15 Mar 2012 to 19 Jul 2012)
• Victoria Elizabeth Silbey

  IRN VES01016

  • CF1 Director (9 Aug 2010 to 29 Feb 2016)

No changes recorded yet.