Stifel Nicolaus Europe Limited

• Principal Place of Business

  4th Floor

  150 Cheapside

  London

  EC2V 6ET

  UNITED KINGDOM

  Phone

  +442077107600

  Web

  https://www.stifel.com

• Complaints Contact

  4th Floor

  150 Cheapside

  London

  EC2V 6ET

  UNITED KINGDOM

  Phone

  +442077107600

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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, 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, Unit, Warrant

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  • · 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

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  • · 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, 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, Unit, Warrant

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  • · 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, 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, 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, Unit, Warrant

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  • · 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, 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, Unit, Warrant

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  • · 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, 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, 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, Unit, Warrant

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  • · 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, 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, 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, Unit, Warrant

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  • · 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Government and public security, Share, Warrant

• Chandramouli Sriraman

  IRN CXS01709

  • [FCA CF] Client dealing (9 Nov 2020 to 13 Jun 2025)
• Charles Granville Lucas

  IRN CGL01008

  • CF29 Significant management (25 Feb 2015 to 12 Jan 2018)
  • CF30 Customer (3 Apr 2014 to 12 Jan 2018)
• Charles James Ashton

  IRN CJA01047

  • [FCA CF] Material risk taker (9 Nov 2020 to 4 Jul 2023)
  • SMF3 Executive Director (9 Dec 2019 to 4 Jul 2023)
  • CF1 Director (17 Oct 2017 to 8 Dec 2019)
  • CF28 Systems and controls (17 May 2017 to 8 Dec 2019)
• Charles Laurence Beeching

  IRN CLB01152

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2023)
  • CF30 Customer (6 Dec 2017 to 8 Dec 2019)
• Charles Martin Richard Hoare

  IRN CMH01082

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
  • CF30 Customer (6 Jun 2016 to 8 Dec 2019)
• Charles Michael Paget

  IRN CMP01106

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 6 May 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 6 May 2025)
  • CF30 Customer (8 Nov 2013 to 8 Dec 2019)
• Charles Robert Campbell

  IRN CRC01044

  • [FCA CF] Client dealing (since 19 Mar 2024)
• Charlie Edward Jarman Pickard

  IRN CEP01076

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (15 Dec 2014 to 8 Dec 2019)
• Charlie Williams

  IRN CXW00715

  • [FCA CF] Client dealing (since 25 Feb 2026)
• Charline Plessis

  IRN CXP01964

  • CF30 Customer (18 Jul 2018 to 8 Dec 2019)

No changes recorded yet.