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.

• Nicholas Vincent Styman

  IRN NVS01005

  • CF10 Compliance Oversight (10 Apr 2014 to 22 Jul 2016)
  • CF11 Money Laundering Reporting (10 Apr 2014 to 22 Jul 2016)
• Nigel Bartram

  IRN NXB00251

  • [FCA CF] Significant management (25 Jun 2020 to 19 Jan 2023)
• Patrick John Sumner

  IRN PJS01194

  • CF30 Customer (30 Jul 2013 to 1 Apr 2014)
• Paul Nicholls

  IRN PJN01056

  • [FCA CF] Significant management (21 May 2020 to 3 Nov 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 3 Nov 2021)
  • Responsible for Insurance Mediation (9 Aug 2017 to 30 Sep 2018)
  • CF29 Significant management (3 Jul 2017 to 8 Dec 2019)
• Paul Rought

  IRN PXR00237

  • Responsible for Insurance Distribution (since 23 Feb 2023)
  • [FCA CF] Significant management (since 3 Nov 2021)
• Peter Gibson Neal

  IRN PXN23760

  • CF30 Customer (18 Nov 2019 to 8 Dec 2019)
• Peter Hansell

  IRN PEH01085

  • [FCA CF] Client dealing (4 Oct 2021 to 31 Dec 2025)
• Peter Simon Kulczycki

  IRN PSK01048

  • CF28 Systems and controls (15 Nov 2016 to 8 Dec 2019)
• Philip Firmin

  IRN PXF24627

  • SMF17 Money Laundering Reporting Officer (MLRO) (19 Feb 2020 to 30 Jul 2021)
• Phillip Gerald Goff

  IRN PGG01070

  • CF2 Non Executive Director (6 Oct 2015 to 10 May 2016)

• 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.