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.

• Elizabeth Hudson

  IRN EXH12683

  • [FCA CF] Client dealing (9 Dec 2019 to 7 Jun 2022)
  • CF30 Customer (22 Mar 2019 to 8 Dec 2019)
• Eric Hamam

  IRN EXH01281

  • CF30 Customer (16 Nov 2010 to 29 Oct 2014)
• George Vincent Jack Holbrow-Wilshaw

  IRN GXH00365

  • [FCA CF] Proprietary trader (since 6 Mar 2026)
  • [FCA CF] Material risk taker (since 6 Mar 2026)
  • [FCA CF] Client dealing (since 6 Mar 2026)
  • [FCA CF] Client dealing (10 May 2023 to 18 Sep 2023)
• Gerhard Walter Wetzel

  IRN GWW01027

  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 18 Aug 2003)
• Germain Carriere

  IRN GXC01253

  • CF1 Director (1 Dec 2001 to 9 Jul 2004)
• Graham Craig Schneidmiller

  IRN GCS01072

  • [FCA CF] Manager of certification employee (since 6 Mar 2026)
  • [FCA CF] Material risk taker (since 6 Mar 2026)
  • [FCA CF] Proprietary trader (since 6 Mar 2026)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (21 Mar 2019 to 8 Dec 2019)
• James Ashfield

  IRN JXA01488

  • CF30 Customer (26 Nov 2012 to 21 Mar 2014)
• James Park

  IRN JXP84454

  • [FCA CF] Proprietary trader (since 6 Mar 2026)
  • [FCA CF] Material risk taker (since 6 Mar 2026)
  • [FCA CF] Client dealing (since 25 Nov 2024)
• Jamie Petch

  IRN JXP00944

  • [FCA CF] Client dealing (23 Apr 2024 to 25 Jul 2024)
• Jean Turmel

  IRN JXT01204

  • CF1 Director (1 Dec 2001 to 7 Apr 2005)

No changes recorded yet.