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

• Peter Eunchul Shin

  IRN PES01097

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Jul 2019 to 8 Dec 2019)
• Peter Mark Spraggett

  IRN PMS01091

  • [FCA CF] Client dealing (16 Sep 2021 to 31 May 2022)
• Peter Matjaz Globokar

  IRN PMG01046

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (1 Jul 2019 to 8 Dec 2019)
• Peter McNally

  IRN PXM01455

  • [FCA CF] Client dealing (since 6 Sep 2021)
• Peter Richard Lees

  IRN PRL01054

  • CF30 Customer (23 Sep 2015 to 16 Aug 2019)
• Peter Thomas Chapman

  IRN PTC01028

  • [FCA CF] Client dealing (10 Jul 2020 to 13 Jun 2025)
• Philip Charles Napier Haggard

  IRN PCH01045

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2023)
  • CF30 Customer (3 Apr 2014 to 8 Dec 2019)
• Philip Hopkins

  IRN PAH01158

  • [FCA CF] Client dealing (9 Dec 2019 to 16 Jan 2026)
  • CF30 Customer (3 Dec 2019 to 8 Dec 2019)
• Philip Richard Griffith

  IRN PRG01038

  • [FCA CF] Client dealing (21 Apr 2022 to 31 May 2024)
  • [FCA CF] Manager of certification employee (21 Apr 2022 to 31 May 2024)
• Phillip Joseph McCreanor

  IRN PJM01298

  • [FCA CF] Manager of certification employee (since 22 Oct 2024)
  • [FCA CF] Client dealing (since 22 Oct 2024)

No changes recorded yet.