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.

Nicholas David Mather
IRN NXM00352
- SMF1 Chief Executive (13 May 2022 to 30 Jan 2026)
- SMF3 Executive Director (13 May 2022 to 30 Jan 2026)
Nick Bourne
IRN NXB01614
- SMF16 Compliance Oversight (19 Apr 2021 to 23 Jun 2021)
- SMF3 Executive Director (9 Dec 2019 to 23 Jun 2021)
- CF1 Director (16 Jul 2012 to 8 Dec 2019)
Nikol Hearn
IRN NXH08546
- Appointed representative dealing with clients for which they require qualification (26 Mar 2021 to 30 Nov 2021)
- CF30 Customer (21 Nov 2018 to 8 Dec 2019)
Oliver John Brennan
IRN OJB00009
- CF30 Customer (27 Apr 2017 to 8 Dec 2019)
Peter Charles Allen
IRN PCA01038
- CF2 Non Executive Director (16 Jul 2015 to 21 Mar 2017)
- CF11 Money Laundering Reporting (26 Jun 2012 to 31 Dec 2014)
- CF10 Compliance Oversight (26 Jun 2012 to 31 Dec 2014)
- CF1 Director (27 Oct 2009 to 31 Dec 2014)
Prashant Shah
IRN PXS02406
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Feb 2023)
- CF11 Money Laundering Reporting (4 Mar 2015 to 8 Dec 2019)
Shweta Singh
IRN SXS03075
- CF30 Customer (7 Feb 2013 to 8 Dec 2019)
Skylar Montgomery Koning
IRN SXM60984
- [FCA CF] Client dealing (8 Dec 2021 to 7 Jun 2024)
Stefano Di Domizio
IRN SXD01440
- CF30 Customer (27 Oct 2009 to 23 Jul 2012)

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.