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

• Margaret Rose Schooley

  IRN MRS01224

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Jul 2023)
  • CF30 Customer (29 Jan 2019 to 8 Dec 2019)
• Margaux Abimbola

  IRN MXA01153

  • [FCA CF] Client dealing (1 Jun 2025 to 1 Jan 2026)
• Margherita Marchi

  IRN MXM01972

  • [FCA CF] Client dealing (1 Apr 2023 to 27 Nov 2024)
• Mariana Carvalho Graca

  IRN MXC01127

  • [FCA CF] Client dealing (1 Apr 2023 to 29 May 2024)
• Mariana Nóbrega

  IRN MXN00477

  • [FCA CF] Client dealing (since 27 Feb 2026)
• Mark Barnes

  IRN MXB01446

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Jun 2025)
  • [FCA CF] Algorithmic trading (9 Dec 2019 to 13 Jun 2025)
  • CF30 Customer (3 May 2019 to 8 Dec 2019)
• Mark Christopher Aitken

  IRN MCA01030

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2024)
  • CF29 Significant management (25 Feb 2015 to 8 Dec 2019)
  • CF30 Customer (3 Jul 2013 to 8 Dec 2019)
• Mark Christopher Bowen Bloomfield

  IRN MCB01088

  • [FCA CF] Client dealing (9 Dec 2019 to 21 Apr 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 21 Apr 2023)
  • CF30 Customer (27 Feb 2015 to 8 Dec 2019)
• Mark Christopher Hamilton Young

  IRN MCY01004

  • [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 (5 Feb 2015 to 8 Dec 2019)
• Mark David Small

  IRN MDS01098

  • [FCA CF] Client dealing (9 Nov 2020 to 16 Jan 2026)
  • [FCA CF] Manager of certification employee (9 Nov 2020 to 16 Jan 2026)

No changes recorded yet.