Oppenheimer Europe Ltd.

Date authorised
1 April 2013
Companies House
06595648
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

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, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Share, 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, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Share, 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, Debenture, 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), Share, 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.

  • Stockbroking

    For Eligible Counterparty, Professional, Debenture, 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), Share, 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.

  • Trades With You Directly

    For Eligible Counterparty, Professional, Debenture, 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), Share, 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, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Share, 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.

  • Alfredo Caturano

    IRN AXC01406

    • CF30 Customer (1 Apr 2010 to 21 Jan 2014)
  • Alfredo Gerard Mujica

    IRN AGM01135

    • CF30 Customer (21 Jan 2013 to 6 Jan 2014)
  • Alice Rebecca Glaser

    IRN ARG01130

    • CF30 Customer (20 Oct 2011 to 17 Apr 2015)
  • Alkesh Mistry

    IRN AXM17196

    • [FCA CF] Significant management (4 Dec 2020 to 31 Jan 2025)
    • [FCA CF] Material risk taker (4 Dec 2020 to 31 Jan 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Jan 2025)
    • CF10 Compliance Oversight (20 Aug 2019 to 8 Dec 2019)
  • Allen Bernard Holeman

    IRN ABH01034

    • CF10 Compliance Oversight (17 Oct 2011 to 29 Feb 2012)
    • CF11 Money Laundering Reporting (8 Sep 2008 to 26 Jul 2010)
    • CF1 Director (8 Sep 2008 to 30 Apr 2013)
  • Andrea Baillie

    IRN AXB03362

    • CF29 Significant management (5 Mar 2015 to 17 Nov 2017)
  • Andrew Charles Robinson

    IRN ACR01040

    • CF30 Customer (8 Sep 2008 to 31 Jan 2014)
    • CF1 Director (8 Sep 2008 to 31 Jan 2014)
    • CF29 Significant management (8 Sep 2008 to 5 Jan 2011)
  • Andrew Earl Roberts

    IRN AER01069

    • [FCA CF] Client dealing (since 18 Feb 2022)
  • Andrew Jesus De Almeida

    IRN AXD01096

    • [FCA CF] Client dealing (since 7 Jul 2025)
  • Aneesa Rossi

    IRN AXR00309

    • [FCA CF] Client dealing (4 Dec 2020 to 18 Oct 2021)
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Recent activity

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

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