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

• Andrew John Oliver

  IRN AJO01023

  • [FCA CF] Client dealing (17 Sep 2020 to 14 Oct 2022)
• Andrew Richard Elwin Palmer

  IRN ARP01162

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Aug 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Aug 2022)
• Andrew Richard George Carrie

  IRN ARC01087

  • CF30 Customer (27 Jun 2013 to 25 Jun 2018)
• Andrew Stimpson

  IRN AXS02264

  • [FCA CF] Client dealing (since 23 Jun 2020)
  • [FCA CF] Manager of certification employee (since 23 Jun 2020)
• Andrew Thomas Robert Chappell

  IRN ATC01022

  • CF30 Customer (9 Jun 2016 to 8 Dec 2019)
• Angus Lloyd Carlill

  IRN ALC01029

  • CF1 Director (1 Oct 2011 to 5 Jun 2018)
  • CF30 Customer (1 Oct 2011 to 5 Jun 2018)
  • CF29 Significant management (1 Oct 2011 to 25 Apr 2016)
• Anita Surana

  IRN AXS02238

  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2024)
  • CF30 Customer (27 Aug 2018 to 8 Dec 2019)
• Anjli Parkash Shah

  IRN APS01207

  • CF30 Customer (4 Feb 2015 to 31 Dec 2015)
• Anke Sabine Rudy

  IRN ASR01033

  • CF21 Investment Adviser (1 Dec 2001 to 31 May 2002)
• Annabel Ruth Hewson

  IRN ARL01039

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2023)
  • CF30 Customer (29 Jan 2019 to 8 Dec 2019)

No changes recorded yet.