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.

• Mitchell Glynn

  IRN MGG01058

  • CF30 Customer (19 Dec 2008 to 31 Jul 2013)
• Mohamed Isse

  IRN MXI00050

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Aug 2022)
• Natalia Groysberg

  IRN NXG01206

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2020)
  • CF30 Customer (13 Jun 2014 to 8 Dec 2019)
• Natalia Urusova

  IRN NXU19774

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2021)
  • CF30 Customer (6 Sep 2019 to 8 Dec 2019)
• Natalie Arrieta

  IRN NXA00092

  • [FCA CF] Client dealing (9 Dec 2019 to 2 Mar 2024)
• Nathan Cefai

  IRN NXC00367

  • [FCA CF] Client dealing (since 5 Sep 2023)
• Niall Florence O'Sullivan

  IRN NFO01005

  • SMF3 Executive Director (2 Nov 2023 to 7 Feb 2024)
• Nicholas Stephen Spencer

  IRN NSS01021

  • CF30 Customer (1 Nov 2007 to 21 Apr 2009)
  • CF21 Investment Adviser (2 Oct 2007 to 31 Oct 2007)
  • CF27 Investment Management (13 Jun 2006 to 2 Oct 2007)
• Nicholas Vincent Styman

  IRN NVS01005

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Sep 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 27 Sep 2024)
  • CF10 Compliance Oversight (25 Aug 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (25 Aug 2016 to 8 Dec 2019)
• Nick John Francis Hoar

  IRN NJH01202

  • SMF7 Group Entity Senior Manager (16 Mar 2021 to 29 Jul 2022)
  • CF1 Director (26 May 2009 to 20 Jul 2012)
  • CF28 Systems and controls (26 May 2009 to 1 Nov 2011)
  • CF30 Customer (9 Jan 2009 to 17 Feb 2015)

No changes recorded yet.