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.

  • Richard John Small

    IRN RJS01207

    • CF30 Customer (15 Dec 2008 to 24 Apr 2013)
  • Richard Jonathan Clarke

    IRN RJC01218

    • [FCA CF] Client dealing (since 5 Mar 2025)
  • Rishi Rughani

    IRN RXR01402

    • SMF3 Executive Director (since 4 Dec 2023)
    • [FCA CF] Material risk taker (2 May 2023 to 9 Dec 2025)
    • [FCA CF] CASS oversight function (4 Dec 2020 to 9 Dec 2025)
    • CF28 Systems and controls (17 Jul 2012 to 8 Dec 2019)
    • CF30 Customer (3 Dec 2008 to 8 Dec 2019)
  • Rizwan Khalid ROSY

    IRN RXR01568

    • [FCA CF] Client dealing (since 14 Jan 2026)
  • Robert Cornelius Van Den Bergh

    IRN RCV01004

    • [FCA CF] Client dealing (4 Dec 2020 to 25 Nov 2024)
    • CF30 Customer (2 Nov 2009 to 8 Dec 2019)
  • Robert Lawrence Graham-Brown

    IRN RLG01031

    • CF30 Customer (3 Jun 2013 to 31 Oct 2016)
  • Robert Lowenthal

    IRN RXL01409

    • CF1 Director (13 Aug 2018 to 8 Dec 2019)
    • CF29 Significant management (6 Apr 2009 to 8 Dec 2019)
  • Roger James Gleadell

    IRN RJG01116

    • CF30 Customer (1 Sep 2015 to 4 Apr 2017)
  • Romain Foussadier

    IRN RXF01363

    • CF30 Customer (23 Apr 2012 to 4 Mar 2014)
  • Roman Stoika

    IRN RXS01117

    • [FCA CF] Client dealing (since 11 Nov 2024)
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Recent activity

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

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