National Bank Financial Inc

• Principal Place of Business

  70 St. Mary Axe

  London

  City Of London

  EC3A 8BE

  UNITED KINGDOM

  Phone

  +442072656500

• Complaints Contact

  70 St. Mary Axe

  London

  City Of London

  EC3A 8BE

  UNITED KINGDOM

  Phone

  +442072656517

• 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), 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), 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

• Trades With You Directly

  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), Share, 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), 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.

• Caitlin Meghan Walsh

  IRN CMW01150

  • CF30 Customer (6 Jul 2012 to 30 Jun 2016)
• Christopher George Wraw

  IRN CGW01037

  • CF21 Investment Adviser (18 Feb 2003 to 1 Aug 2006)
• Christopher Raymond Miller

  IRN CRM01112

  • CF30 Customer (1 Aug 2011 to 14 Jan 2019)
• Colin Samuel Peter Gibson

  IRN CSG01070

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2023)
  • CF30 Customer (2 Feb 2018 to 8 Dec 2019)
• Corey Joseph Cook

  IRN CJC01143

  • CF30 Customer (16 Nov 2009 to 28 Dec 2010)
• Daniel Charles Duggan

  IRN DXD15088

  • SMF19 Head of Overseas Branch/Head of Overseas (9 Dec 2019 to 30 Apr 2021)
  • CF3 Chief Executive (2 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (22 May 2019 to 8 Dec 2019)
• David Andrew Joynt

  IRN DAJ01105

  • CF30 Customer (1 Nov 2007 to 26 Jan 2010)
  • CF21 Investment Adviser (4 Oct 2006 to 31 Oct 2007)
• David Richard Hand

  IRN DRH01115

  • CF3 Chief Executive (30 Jun 2004 to 1 Sep 2005)
  • CF8 Apportionment and Oversight (30 Jun 2004 to 1 Sep 2005)
• Drew Lloyd

  IRN DXL01637

  • CF30 Customer (13 Jan 2015 to 14 Jan 2019)
• Edward Fearfield

  IRN EXF01050

  • CF30 Customer (1 Nov 2007 to 2 May 2017)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.