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.

• Simon Timothy Osborne

  IRN STO00016

  • SMF16 Compliance Oversight (since 16 Jan 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Jan 2025)
• Sinead Claire Nunan Gilmore

  IRN SXG00872

  • [FCA CF] Client dealing (since 29 Jan 2025)
• Sophie Henrietta Ware

  IRN SHS01058

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (6 Dec 2007 to 8 Dec 2019)
• Stefano Bontempelli

  IRN SXB01354

  • CF30 Customer (20 Jan 2009 to 30 Sep 2010)
• Stephane Alain Marie Rougier

  IRN SAR01159

  • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
  • CF21 Investment Adviser (28 Aug 2007 to 31 Oct 2007)
• Stephanie Wendy Scott

  IRN SWS01052

  • CF30 Customer (6 May 2008 to 31 Oct 2008)
• Stephen Flaherty

  IRN SXF00163

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 16 Mar 2021)
• Stephen Gregory Wright

  IRN SXW00181

  • SMF7 Group Entity Senior Manager (since 11 Feb 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 19 Apr 2021)
• Steve Hachenberger

  IRN SXH01860

  • CF30 Customer (1 Nov 2007 to 31 Mar 2009)
  • CF21 Investment Adviser (25 Sep 2007 to 31 Oct 2007)
• Steve Shigekawa

  IRN SXS00441

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 7 Jan 2022)

No changes recorded yet.