Stephens Europe Limited

Date authorised
22 April 2016
Companies House
08817024
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Stephens Europe Ltd
    12 Arthur Street
    London
    City Of London
    EC4R 9AB
    UNITED KINGDOM
    Phone
    +442037579900
    Web
    https://www.stephens.com/investment-banking

  • Complaints Contact

    Stephens Europe Ltd
    12 Arthur Street
    London
    City Of London
    EC4R 9AB
    UNITED KINGDOM
    Phone
    +442037579900

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, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" 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, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David Dodds

    IRN DXD00432

    • [FCA CF] Client dealing (since 4 Nov 2024)
  • David Gareth Palmer

    IRN DXP23520

    • [FCA CF] Client dealing (9 Dec 2019 to 13 Nov 2025)
    • CF30 Customer (11 Nov 2019 to 8 Dec 2019)
  • Dominic Laurence Carden Wallis

    IRN DLW01047

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (22 Apr 2016 to 8 Dec 2019)
  • Emanuele Rustichelli

    IRN EXR14250

    • [FCA CF] Client dealing (9 Dec 2019 to 20 Sep 2022)
  • Francisco Peixoto Pinho Bastos

    IRN FPB01027

    • CF30 Customer (9 May 2017 to 30 Jun 2018)
  • George Allner

    IRN GXA00245

    • [FCA CF] Client dealing (12 Sep 2022 to 14 Dec 2025)
  • Gerhard Gleich

    IRN GXG00169

    • [FCA CF] Client dealing (since 10 Mar 2022)
  • Gerhard Werner Gleich

    IRN GWG01034

    • CF30 Customer (6 Oct 2016 to 8 Dec 2019)
  • Graham Livingstone Paton

    IRN GLP01017

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF3 Chief Executive (13 Jun 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Apr 2016 to 8 Dec 2019)
    • CF30 Customer (22 Apr 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Apr 2016 to 8 Dec 2019)
    • CF1 Director (22 Apr 2016 to 8 Dec 2019)
  • Guilherme Santos

    IRN GXS00427

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2023)
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Recent activity

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

No changes recorded yet.