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.

• Maria Belen Susana Montero-Cowell

  IRN MBM01056

  • CF30 Customer (9 Sep 2014 to 26 May 2016)
• Muhammad Irshaad Ahmad

  IRN MIA01044

  • [FCA CF] Client dealing (since 12 Jan 2026)
  • [FCA CF] Significant management (since 12 Jan 2026)
• Raghu Venugopal

  IRN RRV01002

  • CF30 Customer (20 Oct 2017 to 8 Dec 2019)
• Sabina Esther Von Arx-Zubler

  IRN SEV01004

  • CF30 Customer (11 Aug 2016 to 8 Dec 2019)
• Soumyanshu Bhattacharya

  IRN SXB03292

  • [FCA CF] Client dealing (since 7 Oct 2024)
• Stephen Mark Cubitt

  IRN SXC01631

  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF28 Systems and controls (27 Jan 2016 to 8 Dec 2019)
• Thomas Barnaby Alexander Helme

  IRN TBH01005

  • CF30 Customer (18 Jul 2013 to 24 Oct 2013)
• Thomas Leolin Alfred Price

  IRN TLP01021

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (11 Feb 2015 to 8 Dec 2019)
  • CF30 Customer (4 Feb 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (22 Jan 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (22 Jan 2014 to 8 Dec 2019)
• Vikashkumar Hirabuai Patel

  IRN VKP01003

  • CF30 Customer (17 Jun 2013 to 13 Jan 2014)
• William Aldwin Soames

  IRN WAS01013

  • 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 (1 Mar 2016 to 8 Dec 2019)

No changes recorded yet.