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.

• Jeff Clapp

  IRN JXC02326

  • [FCA CF] Material risk taker (since 6 Mar 2026)
  • [FCA CF] Client dealing (since 2 Sep 2024)
• Jerry Yung Hao Lee

  IRN JYL01003

  • [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 (28 May 2014 to 8 Dec 2019)
• John Martin

  IRN JXM02281

  • [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)
• Julia Eisenmann

  IRN JXE01504

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Oct 2021)
  • CF30 Customer (8 Aug 2016 to 8 Dec 2019)
• Julian Grant Robinson

  IRN JGR01025

  • [FCA CF] Client dealing (9 Dec 2019 to 11 Oct 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Justin Paquet

  IRN JXP01241

  • CF29 Significant management (1 Nov 2007 to 16 Jan 2013)
  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 31 Oct 2007)
• Kirstin Gerd Thompson

  IRN KGW01011

  • [FCA CF] Material risk taker (since 6 Mar 2026)
  • [FCA CF] Client dealing (since 8 Mar 2022)
• Leo Lejeune

  IRN LXL01323

  • CF30 Customer (23 Nov 2012 to 14 Mar 2017)
• Marc Ferrari

  IRN MXF00659

  • [FCA CF] Material risk taker (since 6 Mar 2026)
  • [FCA CF] Client dealing (since 6 Mar 2026)
• Mark Christian Coakley

  IRN MCC01124

  • CF30 Customer (1 Nov 2007 to 22 Mar 2011)
  • CF21 Investment Adviser (12 Sep 2007 to 31 Oct 2007)

No changes recorded yet.