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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  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.

• 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.

• Martin Legault

  IRN MXL01736

  • CF3 Chief Executive (1 Jul 2009 to 23 Aug 2012)
• Mathieu Marcotte

  IRN MXM19489

  • [FCA CF] Proprietary trader (since 6 Mar 2026)
  • [FCA CF] Material risk taker (since 6 Mar 2026)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
• Matthew Reiter

  IRN MXR00499

  • [FCA CF] Client dealing (17 Feb 2022 to 5 Aug 2022)
• Matthew Tyler Larose

  IRN MTL01043

  • CF30 Customer (19 Jul 2010 to 28 Dec 2017)
• Mike Woollatt

  IRN MXW00346

  • [FCA CF] Client dealing (5 Mar 2021 to 15 Mar 2023)
• Mohamed Khalil Ben Salem

  IRN MXB19514

  • [FCA CF] Material risk taker (since 6 Mar 2026)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
• Nicola Joanne Vanhegan

  IRN NJH01105

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF3 Chief Executive (6 Sep 2012 to 17 Dec 2012)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
• Nicole Miller

  IRN NMT01024

  • CF30 Customer (14 May 2012 to 14 Jan 2019)
• Olivier Lucien Rene Dozat

  IRN OLD01008

  • CF30 Customer (13 Aug 2010 to 31 Oct 2013)
• Patrick Michael McEntyre

  IRN PMM01162

  • CF30 Customer (5 Dec 2013 to 23 Mar 2016)

No changes recorded yet.