Nuveen Investment Management International Limited

• Principal Place of Business

  9th Floor

  201 Bishopsgate

  London

  City Of London

  EC2M 3BN

  UNITED KINGDOM

  Phone

  +442037278000

  Web

  https://www.nuveen.com/global/?type=uk

• Complaints Contact

  201 Bishopsgate

  London

  EC2M 3BN

  UNITED KINGDOM

  Phone

  +4402037258321

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, 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 Commercial, Eligible Counterparty, Professional, Certificates representing certain security, 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, Non-investment insurance contracts, 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, 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, Alternative Debenture, Certificates representing certain security, 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, 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.

• Stockbroking

  For Commercial, Eligible Counterparty, Professional, Certificates representing certain security, 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, Non-investment insurance contracts, 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, 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 Commercial, Eligible Counterparty, Professional, Certificates representing certain security, 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, Non-investment insurance contracts, 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, 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, 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, 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.

• Marcus Langlands Pearse

  IRN MAL01203

  • [FCA CF] Client dealing (21 May 2020 to 9 Sep 2022)
  • CF30 Customer (6 Mar 2014 to 8 Dec 2019)
• Mark Griffiths

  IRN MXG02527

  • SMF3 Executive Director (9 Dec 2019 to 6 Apr 2020)
  • CF1 Director (20 May 2016 to 8 Dec 2019)
• Mark Hurley

  IRN MXH01312

  • CF30 Customer (1 Nov 2007 to 15 May 2009)
  • CF26 Customer Trading (2 May 2007 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 2 May 2007)
• Mark Joseph Wood

  IRN MJW01557

  • CF1 Director (1 Apr 2014 to 17 Jun 2016)
• Mark Richard Charles Carpenter

  IRN MRC01076

  • CF30 Customer (31 Jul 2013 to 8 Dec 2019)
• Mark Sydney Beale

  IRN MSB01088

  • CF28 Systems and controls (1 Nov 2007 to 2 Apr 2009)
  • CF30 Customer (1 Nov 2007 to 4 Jul 2011)
  • CF14 Risk Assessment (24 Sep 2002 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 18 Jul 2011)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Martin John Payne

  IRN MJP01387

  • CF30 Customer (2 Sep 2013 to 28 Feb 2018)
• Matthew Hamber

  IRN MXH00620

  • [FCA CF] Client dealing (27 Aug 2021 to 1 Aug 2024)
• Michael Hugh Neal

  IRN MHN01015

  • SMF3 Executive Director (9 Dec 2019 to 18 Mar 2024)
  • CF1 Director (11 Nov 2016 to 8 Dec 2019)
  • CF30 Customer (30 Jul 2013 to 8 Dec 2019)
• Michael John Groves

  IRN MJG01148

  • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
  • CF26 Customer Trading (2 May 2007 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 2 May 2007)

• WorldInvest Bermuda Limited (no longer appointed)

  FRN 205617 · Appointed 24 Jul 1996 · Until 31 May 2000

• WorldInvest Management Australia Pty Ltd (no longer appointed)

  FRN 205616 · Appointed 24 Jul 1996 · Until 23 Dec 1998

• Worldinvest International Inc (no longer appointed)

  FRN 205612 · Appointed 1 Mar 1996 · Until 31 Dec 2000

No changes recorded yet.