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

• Patrick John D'Anyers Willis

  IRN PJW01141

  • CF30 Customer (10 Oct 2017 to 26 Mar 2019)
• Patrick Michael Seely

  IRN PMS01114

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Jul 2019 to 8 Dec 2019)
• Patrick Savage

  IRN PXS00783

  • [FCA CF] Client dealing (1 Apr 2023 to 27 Dec 2024)
• Paul Andrew Newman

  IRN PAN01028

  • CF1 Director (1 Oct 2011 to 31 May 2013)
  • CF11 Money Laundering Reporting (6 Nov 2009 to 1 Oct 2011)
  • CF10 Compliance Oversight (6 Nov 2009 to 1 Oct 2011)
  • CF30 Customer (1 Sep 2008 to 31 May 2013)
• Paul Bannister

  IRN PXB00331

  • [FCA CF] Client dealing (1 Dec 2020 to 30 Apr 2021)
• Paul Davies Jones

  IRN PXD01205

  • CF21 Investment Adviser (17 Aug 2007 to 5 Sep 2007)
• Paul Edward Makepeace

  IRN PEM01051

  • [FCA CF] Algorithmic trading (9 Dec 2019 to 30 Jun 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Jun 2023)
  • CF29 Significant management (20 Jun 2018 to 8 Dec 2019)
  • CF30 Customer (19 May 2016 to 8 Dec 2019)
• Paul Edward Shackleton

  IRN PES01085

  • [FCA CF] Client dealing (29 Jul 2025 to 16 Jan 2026)
  • [FCA CF] Manager of certification employee (29 Jul 2025 to 16 Jan 2026)
• Paul Gerard De Bruin

  IRN PGD01033

  • CF30 Customer (1 Nov 2007 to 5 Feb 2009)
  • CF21 Investment Adviser (1 Aug 2007 to 31 Oct 2007)
• Paul Harvey

  IRN PXH01262

  • CF30 Customer (16 Feb 2012 to 31 Aug 2012)

No changes recorded yet.