Neuberger Berman Europe Limited

• Principal Place of Business

  The Zig Zag Building

  70 Victoria Street

  London

  SW1E 6SQ

  UNITED KINGDOM

  Phone

  +4402032149000

  Web

  https://www.nb.com

• Complaints Contact

  The Zig Zag Building

  70 Victoria Street

  London

  SW1E 6SQ

  UNITED KINGDOM

  Phone

  +4402032149000

• 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), Rolling spot forex contract, Share, Spread Bet, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Arranges Asset Safekeeping

  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, Spread Bet, 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.

• Credit Brokering

• 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, Spread Bet, 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.

• 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Manages Your Portfolio

  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, Spread Bet, 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.

• Hardik Makkar

  IRN HXM01579

  • [FCA CF] Client dealing (9 Dec 2019 to 16 Jun 2021)
  • CF30 Customer (12 Feb 2016 to 8 Dec 2019)
• Hares Sivarajah

  IRN HXS01626

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (2 Nov 2012 to 8 Dec 2019)
• Heather Zuckerman

  IRN HXZ01035

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (25 May 2010 to 8 Dec 2019)
• Helen Jane Richards

  IRN HJR01033

  • CF11 Money Laundering Reporting (26 May 2009 to 23 Feb 2015)
  • CF10 Compliance Oversight (26 May 2009 to 23 Feb 2015)
• Hemant Bedarkar

  IRN HXB01241

  • CF30 Customer (9 Apr 2008 to 31 Jul 2016)
• Hemini Hasmita Mistry

  IRN HXM00187

  • [FCA CF] Client dealing (1 Jul 2021 to 7 Jun 2022)
• Henry Constantine Elder

  IRN HXE00087

  • [FCA CF] Client dealing (since 28 May 2024)
• Ho Yan Chau

  IRN HXC00210

  • [FCA CF] Client dealing (31 Oct 2022 to 2 Apr 2026)
• Hung Vay Luc

  IRN HVL01002

  • CF11 Money Laundering Reporting (14 Apr 2015 to 7 Jun 2016)
  • CF10 Compliance Oversight (14 Apr 2015 to 7 Jun 2016)
• Hyun Woong Steve Cho

  IRN HXC00295

  • [FCA CF] Client dealing (since 29 May 2024)

No changes recorded yet.