State Street Global Advisors Limited

• Principal Place of Business

  20 Churchill Place

  -

  London

  E14 5HJ

  UNITED KINGDOM

  Phone

  +442033956000

  Web

  https://www.statestreet.com/investment-management

• Complaints Contact

  20 Churchill Place

  London

  E14 5HJ

  UNITED KINGDOM

  Phone

  +442033956000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Limited to advisory-only activities.
  • · Limited to recognised scheme marketing activities in respect of overseas and institutional clients only and in carrying on such activities to the specified investments "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to recognised scheme marketing activities in respect of overseas and institutional clients only and in carrying on such activities to the specified investments "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Limited to repurchase agreement activities and in carrying on these activities to the securities, "government and public security", "certificate representing certain security", and "right to or interest in investments - security", (when the latter is associated with these specified investments).

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 6 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to transaction-only activities.
  • · Limited to recognised scheme marketing activities in respect of overseas and institutional clients only and in carrying on such activities to the specified investments "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, 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, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Nicholas John Pearce

  IRN NJP01089

  • CF28 Systems and controls (1 Nov 2007 to 30 Dec 2011)
  • CF1 Director (18 Apr 2007 to 30 Dec 2011)
  • CF13 Finance (20 Feb 2007 to 31 Oct 2007)
• Nicholas Michael Fischer

  IRN NMF01034

  • CF30 Customer (27 Aug 2015 to 28 Nov 2017)
• Nicholas Octavio Trager

  IRN NOT01004

  • [FCA CF] Client dealing (9 Dec 2019 to 26 Sep 2023)
  • CF30 Customer (18 Nov 2016 to 8 Dec 2019)
• Nicholas Pidgeon

  IRN NXP01076

  • [FCA CF] Material risk taker (since 3 Oct 2023)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Nicole Jackman

  IRN NXJ01043

  • CF27 Investment Management (1 Dec 2001 to 9 May 2003)
• Nigel David Wightman

  IRN NDW01021

  • CF1 Director (1 Dec 2001 to 18 Mar 2005)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 18 Mar 2005)
  • CF3 Chief Executive (1 Dec 2001 to 18 Mar 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 18 Mar 2005)
• Nigel Mark Aston

  IRN NMA01027

  • CF30 Customer (27 Jan 2016 to 30 Apr 2019)
• Nigel Paul Tyler

  IRN NPT01012

  • CF30 Customer (19 Oct 2009 to 10 Feb 2012)
• Nina Alexandrova Doneva

  IRN NAD01072

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 Mar 2014 to 8 Dec 2019)
• Oliver Thomas Morland

  IRN OXM00147

  • [FCA CF] Client dealing (since 28 Jul 2025)

No changes recorded yet.