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

• Sebastian Godfrey Michael Wykeham

  IRN SGW01040

  • [FCA CF] Client dealing (7 Nov 2022 to 29 Feb 2024)
• Seema Arora

  IRN SXA01194

  • [FCA CF] Algorithmic trading (17 Oct 2024 to 16 Jan 2026)
  • [FCA CF] Manager of certification employee (17 Oct 2024 to 16 Jan 2026)
  • [FCA CF] Client dealing (17 Oct 2024 to 16 Jan 2026)
• Serge Benveniste

  IRN SXB01952

  • CF29 Significant management (1 Oct 2011 to 11 Oct 2013)
• Sergio Ronga

  IRN RXS01769

  • [FCA CF] Client dealing (since 31 Jan 2024)
  • [FCA CF] Manager of certification employee (since 31 Jan 2024)
• Shayne Barge

  IRN SXB01389

  • CF30 Customer (27 Feb 2015 to 8 Dec 2019)
• Shou Lee Wong

  IRN SLW01121

  • [FCA CF] Client dealing (since 4 Jan 2024)
• Sian Cameilia Stella Savage

  IRN SCS01064

  • CF1 Director (7 Apr 2008 to 17 Mar 2009)
  • CF30 Customer (1 Nov 2007 to 17 Mar 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 17 Mar 2009)
  • CF10 Compliance Oversight (1 Dec 2001 to 17 Mar 2009)
• Siarhei Balshakou

  IRN SXB01991

  • [FCA CF] Client dealing (since 28 Jun 2022)
• Sima Kotecha

  IRN SXK01272

  • CF30 Customer (27 Jun 2013 to 12 Nov 2013)
• Simeng Sun

  IRN SXS00668

  • [FCA CF] Client dealing (2 Jul 2021 to 28 Feb 2023)

No changes recorded yet.