Stonehage Fleming Advisory Limited

Date authorised
1 April 2013
Companies House
04027724
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    6 St. James's Square
    London
    SW1Y 4JU
    UNITED KINGDOM
    Phone
    +442070870000
    Web
    https://www.stonehagefleming.com

  • Complaints Contact

    6 St. James's Square
    London
    SW1Y 4JU
    UNITED KINGDOM
    Phone
    +442070870000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), 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), Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity option and option on commodity future, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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, Retail (Investment), Certificates representing certain security, Commodity option and option on commodity future, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Brendan Kenneth Adams

    IRN BKA01001

    • CF10 Compliance Oversight (23 Feb 2007 to 14 Aug 2012)
    • CF11 Money Laundering Reporting (23 Feb 2007 to 14 Aug 2012)
  • Christopher James Merry

    IRN CJM01354

    • SMF9 Chair of the Governing Body (15 Jun 2023 to 23 Aug 2023)
    • SMF3 Executive Director (9 Dec 2019 to 23 Aug 2023)
    • CF1 Director (16 Oct 2019 to 8 Dec 2019)
  • Claire Kostiaev

    IRN CXK01196

    • CF11 Money Laundering Reporting (1 Sep 2005 to 23 Feb 2007)
    • CF10 Compliance Oversight (1 Sep 2005 to 23 Feb 2007)
  • David Charles Kay-Shuttleworth

    IRN DCK01017

    • CF30 Customer (1 Nov 2007 to 30 Apr 2009)
    • CF23 Corporate Finance Adviser (25 Oct 2007 to 31 Oct 2007)
  • David Faviell Fletcher

    IRN DFF01005

    • CF2 Non Executive Director (1 Jun 2015 to 5 Jun 2017)
    • CF28 Systems and controls (19 Mar 2009 to 7 Jan 2011)
    • CF30 Customer (1 Nov 2007 to 7 Jan 2011)
    • CF3 Chief Executive (28 May 2004 to 27 May 2008)
    • CF8 Apportionment and Oversight (28 May 2004 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (1 Feb 2003 to 31 Oct 2007)
    • CF1 Director (1 Feb 2003 to 1 Jun 2015)
  • David Ian Rawlinson

    IRN DIR01013

    • CF1 Director (1 Dec 2001 to 1 May 2004)
    • CF3 Chief Executive (1 Dec 2001 to 1 May 2004)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 1 May 2004)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 1 May 2004)
  • David James Barbour

    IRN DJB01204

    • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
    • CF21 Investment Adviser (10 Feb 2003 to 31 Oct 2007)
  • David Kenneth Maxwell

    IRN DKM01040

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Nov 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 18 Nov 2020)
    • CF10 Compliance Oversight (3 Jan 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2018 to 8 Dec 2019)
  • Edward Becton Davis

    IRN EBD01018

    • [FCA CF] Material risk taker (9 Dec 2019 to 11 Mar 2021)
  • Edwin Oblowitz

    IRN EXO01204

    • CF1 Director (27 May 2015 to 10 Jul 2019)
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Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.