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

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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.

• Mark Harrison Newman

  IRN MHN01009

  • CF30 Customer (30 Jan 2009 to 6 Apr 2009)
• Mark Oestergaard

  IRN MXO01361

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Jul 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 15 Jul 2025)
  • CF30 Customer (1 Apr 2015 to 8 Dec 2019)
• Martin James Rotheram

  IRN MJR01331

  • CF30 Customer (4 Dec 2007 to 16 Nov 2018)
• Matthew David Clay

  IRN MDC01065

  • CF30 Customer (1 Nov 2007 to 13 Feb 2009)
  • CF27 Investment Management (12 Jun 2007 to 31 Oct 2007)
• Matthew Frederick Pumo

  IRN MFP01041

  • CF30 Customer (2 Feb 2016 to 22 Mar 2016)
• Matthew Holian Malloy

  IRN MXM01594

  • SMF3 Executive Director (since 13 Mar 2024)
  • SMF1 Chief Executive (since 13 Mar 2024)
• Matthew Leary

  IRN MAL01144

  • CF21 Investment Adviser (6 Aug 2007 to 25 Sep 2007)
• Matthew Rees

  IRN MXR02196

  • SMF18 Other Overall Responsibility (12 Mar 2021 to 18 May 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 12 Mar 2021)
  • CF30 Customer (20 Jan 2014 to 8 Dec 2019)
• Max Stroud Watson

  IRN MSW01156

  • [FCA CF] Client dealing (9 Dec 2019 to 23 Dec 2021)
  • CF30 Customer (24 Jan 2014 to 8 Dec 2019)
• Maximilian Clemens Korell

  IRN MXK16686

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (28 Jun 2019 to 8 Dec 2019)

No changes recorded yet.