Neuberger Berman Europe Limited

Date authorised
1 April 2013
Companies House
05463227
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Dirk Van Lomwel

    IRN DXV01021

    • SMF3 Executive Director (9 Dec 2019 to 7 Feb 2024)
    • SMF1 Chief Executive (9 Dec 2019 to 7 Feb 2024)
    • CF29 Significant management (26 May 2009 to 8 Dec 2019)
    • CF1 Director (26 May 2009 to 8 Dec 2019)
    • CF3 Chief Executive (26 May 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (7 Aug 2007 to 31 Oct 2007)
  • Dominic May

    IRN DXM01961

    • CF30 Customer (1 Nov 2007 to 28 Oct 2008)
    • CF21 Investment Adviser (12 Jun 2007 to 31 Oct 2007)
  • Donald The Minh Pham

    IRN DTP01032

    • CF30 Customer (30 Jan 2009 to 6 Apr 2009)
  • Drake Lowey Dubin

    IRN DLD01017

    • CF1 Director (2 Oct 2015 to 4 Aug 2016)
    • CF28 Systems and controls (10 Mar 2015 to 4 Aug 2016)
  • Duncan Kester Jones

    IRN DKJ01012

    • CF30 Customer (1 Nov 2007 to 24 Jul 2009)
    • CF27 Investment Management (12 Jun 2007 to 31 Oct 2007)
  • Edward Christian Thomas

    IRN EXT00107

    • [FCA CF] Client dealing (since 21 Feb 2022)
  • Edward John Murray Jones

    IRN EJJ01004

    • [FCA CF] Manager of certification employee (since 18 May 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (14 Jun 2006 to 31 Oct 2007)
  • Eilish O'Hagan

    IRN EXO01011

    • CF30 Customer (1 Nov 2007 to 4 Feb 2008)
    • CF21 Investment Adviser (13 Sep 2007 to 31 Oct 2007)
  • Elena Delfino

    IRN EXD01455

    • CF30 Customer (4 Apr 2016 to 26 May 2016)
  • Elizabeth Papadopoulos

    IRN EXP00064

    • [FCA CF] Client dealing (9 Dec 2019 to 23 Apr 2025)
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Recent activity

Updates to this firm's record on the FCA register.

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