Mirabaud & Cie (Europe) S.A. (UK branch)

• Principal Place of Business

  Mirabaud

  10 Bressenden Place

  London

  Westminster

  SW1E 5DH

  UNITED KINGDOM

  Phone

  +4402031677400

  Web

  https://www.mirabaud.com/en/wealth-management

• Complaints Contact

  Mirabaud

  10 Bressenden Place

  London

  Westminster

  SW1E 5DH

  UNITED KINGDOM

  Phone

  +4402031677400

• Investment Advice (no pensions)

  For Professional, Retail (Investment), 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, Structured Deposits, 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 Professional, Retail (Investment), 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, Life Policy, 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, Structured Deposits, 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 Professional, Retail (Investment), 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, Life Policy, 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.

• Credit Brokering

• Stockbroking

  For Professional, Retail (Investment), 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, Life Policy, 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, Structured Deposits, 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 Professional, Retail (Investment), Certificates representing certain security, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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, Structured Deposits, 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, 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, Life Policy, 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, Structured Deposits, 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.

• Charlotte Ellen Smith

  IRN CXS01094

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 12 May 2025)
  • [FCA CF] Functions requiring qualifications (since 24 Jan 2024)
• Christopher Applin

  IRN CJA01148

  • [FCA CF] Manager of certification employee (10 Jul 2023 to 10 Nov 2023)
  • [FCA CF] Functions requiring qualifications (10 Jul 2023 to 10 Nov 2023)
  • [FCA CF] Client dealing (10 Jul 2023 to 10 Nov 2023)
  • [FCA CF] Material risk taker (10 Jul 2023 to 10 Nov 2023)
• David Smith

  IRN DWS01130

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Manager of certification employee (since 1 Oct 2025)
  • [FCA CF] Client dealing (since 6 Sep 2025)
  • [FCA CF] Functions requiring qualifications (since 6 May 2025)
• Dylan Redmond

  IRN DXR00366

  • [FCA CF] Functions requiring qualifications (10 Jul 2023 to 23 Aug 2024)
  • [FCA CF] Client dealing (10 Jul 2023 to 23 Aug 2024)
• Edward Foster

  IRN EWF01005

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 10 Jul 2023)
  • [FCA CF] Client dealing (since 10 Jul 2023)
  • [FCA CF] Manager of certification employee (since 10 Jul 2023)
• Ian Thorburn

  IRN IHT01005

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • [FCA CF] Client dealing (since 10 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 10 Jul 2023)
  • [FCA CF] Manager of certification employee (since 10 Jul 2023)
  • [FCA CF] Material risk taker (since 10 Jul 2023)
• Jonathan George Timothy Unwin

  IRN JGU01001

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 11 Dec 2023)
• Joseph Douglas Knight

  IRN JDK01035

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 31 Jul 2023)
  • [FCA CF] Manager of certification employee (since 31 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 31 Jul 2023)
• Josh Grootenhuis

  IRN JAG01323

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 10 Jul 2023)
  • [FCA CF] Client dealing (since 10 Jul 2023)
• Liam Jones

  IRN LXJ00129

  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Client dealing (since 10 Aug 2023)
  • [FCA CF] Functions requiring qualifications (since 10 Aug 2023)

No changes recorded yet.