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.

Gabriel Stein
IRN GXS01741
- CF11 Money Laundering Reporting (27 Oct 2009 to 8 Jun 2012)
- CF10 Compliance Oversight (27 Oct 2009 to 8 Jun 2012)
- CF1 Director (27 Oct 2009 to 8 Jun 2012)
Graham Lilley
IRN GXL00234
- SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Mar 2023)
- SMF3 Executive Director (since 8 Mar 2023)
Konstantinos Venetis
IRN CXV01037
- CF30 Customer (28 Apr 2017 to 8 Dec 2019)
Krupa Patel
IRN KXP01377
- CF30 Customer (7 Apr 2011 to 24 May 2011)
Mark Jonathan Harrison
IRN MJH01304
- 3. Giving personal recommendations on derivatives
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (27 Apr 2017 to 8 Dec 2019)
Martin Anthony Farrow Shenfield
IRN MAS01148
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (14 Jan 2015 to 8 Dec 2019)
Maya Arvind Bhandari
IRN MXB02516
- CF30 Customer (27 Oct 2009 to 22 Jul 2011)
Melissa Ball
IRN MXB02841
- CF30 Customer (14 Jul 2011 to 21 Mar 2017)
Melissa Marie-Helene Davies
IRN MMK01039
- CF30 Customer (22 Apr 2010 to 16 Aug 2013)
Michael Taylor
IRN MXT01211
- CF30 Customer (27 Oct 2009 to 17 Feb 2010)

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.