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

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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.

• Michael John Lawson Sales

  IRN MJS01323

  • SMF1 Chief Executive (since 11 Jul 2022)
  • SMF1 Chief Executive (9 Dec 2019 to 5 May 2020)
  • SMF3 Executive Director (9 Dec 2019 to 11 Jul 2022)
  • CF3 Chief Executive (22 Dec 2015 to 8 Dec 2019)
  • CF1 Director (6 Sep 2013 to 8 Dec 2019)
  • CF30 Customer (31 Jul 2013 to 8 Dec 2019)
• Michal Bartek

  IRN MXB01403

  • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Michelle Lee Sanders

  IRN MLS01063

  • CF27 Investment Management (1 Dec 2001 to 2 Jul 2007)
• Myles White

  IRN MBW01052

  • [FCA CF] Client dealing (25 Jun 2020 to 18 Apr 2023)
  • CF30 Customer (30 Jul 2013 to 8 Dec 2019)
• Natasha Trathen

  IRN NXT00104

  • [FCA CF] Significant management (16 Jun 2021 to 26 Sep 2022)
• Nazam Shabir

  IRN NXS00298

  • SMF16 Compliance Oversight (24 Apr 2024 to 31 Jan 2025)
• Nicholas Deacon

  IRN NXD00148

  • [FCA CF] Client dealing (since 25 Jun 2020)
• Nicholas Ian Humphrey ap Simon

  IRN NIA01000

  • [FCA CF] Client dealing (19 Oct 2022 to 28 Jun 2024)
• Nicholas James Evans

  IRN NJE01049

  • CF30 Customer (1 Aug 2013 to 8 Dec 2019)
• Nicholas Toby Hiscock

  IRN NTH01015

  • CF1 Director (7 Apr 2009 to 1 Sep 2009)

• 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.