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

• Victor Manuel Garcia

  IRN VXG01031

  • [FCA CF] Manager of certification employee (1 Nov 2023 to 1 Jul 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2025)
  • CF30 Customer (2 Jul 2019 to 8 Dec 2019)
• Victor Nesi

  IRN VXN01135

  • [FCA CF] Material risk taker (1 Jan 2023 to 30 Sep 2025)
  • SMF9 Chair of the Governing Body (18 Feb 2020 to 30 Sep 2025)
  • SMF3 Executive Director (13 Feb 2020 to 3 Jul 2023)
  • CF2 Non Executive Director (18 Jul 2017 to 8 Dec 2019)
• Victor Roche

  IRN VXR00113

  • [FCA CF] Client dealing (1 Apr 2023 to 31 Jul 2024)
• Victoria Katharine Mcilroy

  IRN VKM01013

  • CF30 Customer (22 Aug 2016 to 10 Nov 2017)
• Vincent De Santis

  IRN VXD01033

  • CF30 Customer (6 Oct 2017 to 9 Jul 2019)
• Vincenzo Di Nicola

  IRN VXD01151

  • [FCA CF] Client dealing (since 1 Jun 2025)
• Vivek Raja

  IRN VXR01094

  • CF30 Customer (18 Sep 2014 to 27 Mar 2015)
• Wayne Pullin

  IRN WXP01104

  • CF11 Money Laundering Reporting (10 Jul 2017 to 9 Mar 2018)
• William Alexander Barnard

  IRN WAB01035

  • CF30 Customer (18 Sep 2014 to 18 Dec 2015)
• William Christopher Jones

  IRN WXJ01048

  • [FCA CF] Algorithmic trading (9 Dec 2019 to 16 Jan 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 16 Jan 2026)
  • CF30 Customer (4 Feb 2015 to 8 Dec 2019)

No changes recorded yet.