Mesirow Financial International UK Limited

• Principal Place of Business

  26 Caxton Street

  4th Floor

  London

  Westminster

  SW1H 0RJ

  UNITED KINGDOM

  Phone

  +447803605190

• Complaints Contact

  26 Caxton Street

  4th Floor

  London

  Westminster

  SW1H 0RJ

  UNITED KINGDOM

  Phone

  +447803605190

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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 Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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

  Show 1 limitation Hide limitations

  • · 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.

• Jesse Keig

  IRN JXK00335

  • SMF3 Executive Director (since 9 Mar 2022)
• John Frederick Frede

  IRN JFF01039

  • CF3 Chief Executive (17 Jan 2008 to 19 Jul 2010)
  • CF28 Systems and controls (17 Jan 2008 to 19 Jul 2010)
  • CF11 Money Laundering Reporting (17 Jan 2008 to 19 Jul 2010)
  • CF10 Compliance Oversight (17 Jan 2008 to 19 Jul 2010)
  • CF1 Director (17 Jan 2008 to 19 Jul 2010)
• John Somerville Collins

  IRN JSC01118

  • CF30 Customer (17 Jul 2014 to 30 Jun 2018)
• Joseph Hoffman

  IRN JXH03091

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (19 Sep 2018 to 8 Dec 2019)
• Karl J Frey

  IRN KJF01061

  • CF30 Customer (17 Jan 2008 to 23 Jun 2011)
• Katherine Wentrup-Estupinan

  IRN KXW00276

  • [FCA CF] Client dealing (since 14 Apr 2022)
• Katie Renouf

  IRN KXR00325

  • [FCA CF] Client dealing (since 13 Feb 2024)
• Ketan Shah

  IRN KXS00353

  • SMF3 Executive Director (since 24 Mar 2022)
• Kristie Paula Paskvan

  IRN KPP01005

  • CF1 Director (17 Jan 2008 to 9 Apr 2018)
• Lee Joseph Diamandakis

  IRN LJD01054

  • CF30 Customer (2 Jul 2009 to 31 Dec 2014)

• Mesirow Financial Investment Management, Inc. (no longer appointed)

  FRN 832223 · Appointed 29 Jan 2019 · Until 23 Nov 2022

No changes recorded yet.