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.

• Serge Lacroix

  IRN SXL01172

  • CF8 Apportionment and Oversight (1 Dec 2001 to 9 Aug 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 9 Aug 2002)
• Simon Cote

  IRN SXC00326

  • SMF19 Head of Overseas Branch/Head of Overseas (since 18 May 2021)
  • [FCA CF] Client dealing (since 1 Apr 2021)
• Sophie Clermont

  IRN SXC01419

  • CF17 Significant Mgt (Other Business Operations) (4 Nov 2002 to 9 Jul 2004)
• Soufian Zitouni

  IRN SXZ00056

  • [FCA CF] Client dealing (29 Mar 2022 to 6 May 2022)
• Stephanie Scott

  IRN SXS03373

  • [FCA CF] Material risk taker (since 6 Mar 2026)
  • [FCA CF] Proprietary trader (since 6 Mar 2026)
  • [FCA CF] Client dealing (since 6 Mar 2026)
• Steve Francois Demers

  IRN SFD01013

  • CF3 Chief Executive (22 Sep 2003 to 25 Jun 2004)
  • CF8 Apportionment and Oversight (12 Aug 2002 to 25 Jun 2004)
• Tomas Gatek

  IRN TXG01202

  • [FCA CF] Client dealing (1 Feb 2023 to 30 Jan 2026)
• William David Wood

  IRN WDW01013

  • CF1 Director (1 Dec 2001 to 30 Sep 2005)
• Yoland Cadieux

  IRN YXC01070

  • CF3 Chief Executive (15 Jan 2013 to 3 Jun 2019)
  • CF30 Customer (4 Oct 2010 to 15 Aug 2019)

No changes recorded yet.