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.

  • Philip Jordan

    IRN PXJ00051

    • [FCA CF] Client dealing (since 4 May 2021)
  • Philipp Wagener

    IRN PXW00189

    • [FCA CF] Client dealing (4 Dec 2020 to 1 Sep 2023)
  • Philippa Parisi-Smiecench

    IRN PFP01009

    • [FCA CF] Algorithmic trading (4 Dec 2020 to 15 Nov 2022)
    • [FCA CF] Client dealing (4 Dec 2020 to 15 Nov 2022)
    • [FCA CF] Material risk taker (4 Dec 2020 to 15 Nov 2022)
    • CF29 Significant management (19 Feb 2011 to 8 Dec 2019)
    • CF30 Customer (1 Oct 2009 to 8 Dec 2019)
  • Philippe Jacquemard

    IRN PXJ01147

    • [FCA CF] Manager of certification employee (since 9 Dec 2024)
    • [FCA CF] Client dealing (since 4 Dec 2020)
  • Qian Gong

    IRN QXG01001

    • CF30 Customer (17 Oct 2013 to 24 Mar 2015)
  • RODMAN JACOBO LOPEZ ABULLARADE

    IRN RJL01218

    • [FCA CF] Client dealing (since 4 Dec 2020)
  • Rabi Karki

    IRN RXK69951

    • [FCA CF] CASS oversight function (14 Nov 2022 to 15 Nov 2022)
    • [FCA CF] Client dealing (14 Nov 2022 to 17 Jul 2024)
  • Rahima Henry

    IRN RXT01277

    • CF1 Director (3 Aug 2017 to 28 May 2019)
    • CF29 Significant management (6 Apr 2017 to 28 May 2019)
    • CF10 Compliance Oversight (13 Oct 2014 to 28 May 2019)
    • CF11 Money Laundering Reporting (13 Oct 2014 to 28 May 2019)
  • Ramon De Paz Rodriguez

    IRN RXD01402

    • [FCA CF] Client dealing (4 Dec 2020 to 27 Sep 2023)
    • CF30 Customer (3 Apr 2018 to 8 Dec 2019)
  • Remi Ernest Jean Marie Derieux

    IRN RXD01144

    • [FCA CF] Client dealing (12 Apr 2023 to 15 Jan 2025)
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Recent activity

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

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