J. STERN & CO LLP

• Principal Place of Business

  J Stern & Co

  4 Carlton Gardens

  London

  Westminster

  SW1Y 5AA

  UNITED KINGDOM

  Phone

  +4402034781800

  Web

  https://www.jsternco.com

• Complaints Contact

  J Stern & Co

  4 Carlton Gardens

  London

  Westminster

  SW1Y 5AA

  UNITED KINGDOM

  Phone

  +4402034781800

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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), Rolling spot forex contract, 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.

• 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), Rolling spot forex contract, 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.

• Arranges Asset Safekeeping

  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), Rolling spot forex contract, 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.

• Stockbroking

  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), Rolling spot forex contract, 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.

• 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), Rolling spot forex contract, 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.

• Manages Your Portfolio

  For 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), Rolling spot forex contract, 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.

• Aikaterini Kosmopoulou

  IRN AXK01474

  • 14. Managing investments
  • [FCA CF] Material risk taker (since 6 Jan 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (12 Jun 2013 to 8 Dec 2019)
• Alexander George Vivian Robins

  IRN AGR01070

  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Alexander Yurievich Vlassov

  IRN AYV01001

  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (20 Feb 2017 to 8 Dec 2019)
• Andrew Edward Waldren

  IRN AEW01048

  • CF11 Money Laundering Reporting (4 Mar 2013 to 10 Jan 2014)
  • CF10 Compliance Oversight (4 Mar 2013 to 10 Jan 2014)
• Catherine Blanc-Adams

  IRN CXB01776

  • CF30 Customer (18 Sep 2015 to 8 Dec 2019)
• Charles Dashwood Gelinet

  IRN CDG01068

  • [FCA CF] Material risk taker (since 20 Dec 2022)
• Christopher Allen Rossbach

  IRN CAR01089

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (4 Mar 2013 to 8 Dec 2019)
  • CF30 Customer (4 Mar 2013 to 8 Dec 2019)
• Clayton Russell Tompkins

  IRN CXT00425

  • [FCA CF] Client dealing (11 Jul 2023 to 10 Sep 2025)
• Ebru Koksal

  IRN EXK00146

  • [FCA CF] Client dealing (since 7 Dec 2022)
• Elena Marchenko

  IRN EXM01356

  • 3. Giving personal recommendations on derivatives
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 17 Jul 2023)
  • [FCA CF] Client dealing (since 17 Jul 2023)

No changes recorded yet.