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.

• Paul Anthony Regier

  IRN PAR01133

  • CF30 Customer (1 Nov 2007 to 26 Jan 2010)
  • CF21 Investment Adviser (11 May 2006 to 31 Oct 2007)
• Peter Partington

  IRN PXP01545

  • CF30 Customer (9 Dec 2013 to 19 Mar 2015)
• Philip Gregory Wilkinson

  IRN PGW01115

  • [FCA CF] Material risk taker (since 6 Mar 2026)
  • [FCA CF] Client dealing (since 16 Sep 2025)
• Philippe Lacroix-Ouellette

  IRN PXL00337

  • [FCA CF] Material risk taker (since 6 Mar 2026)
  • [FCA CF] Proprietary trader (since 6 Mar 2026)
  • [FCA CF] Client dealing (since 13 Feb 2024)
• Pierre Delisle

  IRN PXD01488

  • CF8 Apportionment and Oversight (16 Aug 2005 to 31 Oct 2007)
  • CF3 Chief Executive (16 Aug 2005 to 1 Jul 2009)
• Pierre Prud'Homme

  IRN PXP01130

  • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 11 Sep 2006)
• Robin Luke Alexander

  IRN RLA01023

  • CF30 Customer (1 Nov 2007 to 29 Jul 2008)
  • CF21 Investment Adviser (24 Jul 2006 to 31 Oct 2007)
• Ryan O'Marra

  IRN RXO01321

  • [FCA CF] Client dealing (9 Dec 2019 to 2 Aug 2024)
  • CF30 Customer (7 Jun 2017 to 8 Dec 2019)
• Sabrina Pillai

  IRN SXP01550

  • CF30 Customer (1 Nov 2007 to 30 Sep 2011)
  • CF21 Investment Adviser (23 Mar 2005 to 31 Oct 2007)
• Samantha Rose Startek

  IRN SXS00370

  • [FCA CF] Client dealing (8 Mar 2022 to 26 Aug 2024)

No changes recorded yet.