LOMBARD STREET RESEARCH FINANCIAL SERVICES LIMITED

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Investment Advice (no pensions)

For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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.

Senior staff personally approved by the FCA to hold their roles here.

Andrea Cicione
IRN AXC01806
- SMF16 Compliance Oversight (16 Mar 2022 to 31 Dec 2025)
- CF30 Customer (13 Sep 2012 to 8 Dec 2019)
Andrew Lawrence
IRN AXL00171
- Appointed representative dealing with clients for which they require qualification (25 Feb 2021 to 31 Dec 2024)
Charles Edward Dumas
IRN CED01061
- SMF16 Compliance Oversight (9 Dec 2019 to 27 Oct 2020)
- SMF3 Executive Director (9 Dec 2019 to 1 Mar 2022)
- CF10 Compliance Oversight (26 Feb 2015 to 8 Dec 2019)
- CF1 Director (27 Oct 2009 to 8 Dec 2019)
Christopher James McGale
IRN CJM01171
- CF30 Customer (10 Sep 2012 to 2 Aug 2013)
Christopher Richard Granville
IRN CRG01035
- SMF3 Executive Director (since 27 Jul 2022)
Christopher Turner
IRN CPT01018
- CF1 Director (27 Oct 2009 to 21 Aug 2014)
Colin Macdonald Waugh
IRN CMW01143
- CF30 Customer (29 Jun 2010 to 31 Jul 2013)
Daniel Von Ahlen
IRN DXV00120
- [FCA CF] Client dealing (since 6 Nov 2024)
Eugenio Montersino
IRN EXM01537
- CF30 Customer (20 May 2011 to 16 Nov 2018)
GAURAV Saroliya
IRN GXS01823
- CF30 Customer (10 Nov 2014 to 21 Mar 2017)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.