Stonehage Fleming Advisory Limited

• 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

• 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

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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, 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 Hide limitations

  • · 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 Hide limitations

  • · 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.

• Katharine Diana Munday

  IRN KDM01011

  • [FCA CF] Significant management (1 Feb 2021 to 1 Aug 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Aug 2022)
  • CF2 Non Executive Director (8 Apr 2015 to 5 Jun 2017)
  • CF1 Director (26 Feb 2010 to 8 Apr 2015)
  • CF28 Systems and controls (21 Jul 2009 to 7 Jan 2011)
• Katie Angela Mundell

  IRN KAM01207

  • SMF16 Compliance Oversight (since 24 May 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 May 2021)
• Keith David Felton

  IRN KDF01005

  • CF28 Systems and controls (1 Nov 2007 to 13 Mar 2009)
  • CF1 Director (8 Nov 2004 to 13 Mar 2009)
  • CF13 Finance (8 Nov 2004 to 31 Oct 2007)
• Margaret Ann Kilcoyne

  IRN MXK00253

  • [FCA CF] Significant management (9 Dec 2019 to 31 Jan 2021)
• Mark Alan WInkler

  IRN MAW01258

  • CF30 Customer (10 Jan 2012 to 24 Dec 2018)
• Mark Edward Trehearne Davies

  IRN MED01038

  • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2019)
  • CF1 Director (24 Feb 2010 to 8 Dec 2019)
• Mark Garber

  IRN MXG01382

  • CF2 Non Executive Director (8 Aug 2002 to 24 May 2012)
• Nicholas Patrick Robert Smith

  IRN NPS01072

  • SMF3 Executive Director (since 2 Oct 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (24 Jan 2014 to 8 Dec 2019)
• Nicolas Jean Christian Marie Begin

  IRN NXB14536

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Mar 2021)
  • CF30 Customer (2 May 2019 to 8 Dec 2019)
• Richard Andrew Hill

  IRN RAH01176

  • [FCA CF] Manager of certification employee (since 24 Jun 2022)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF3 Chief Executive (9 Jun 2008 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (4 Jul 2006 to 8 Dec 2019)
  • CF23 Corporate Finance Adviser (20 Jun 2002 to 31 Oct 2007)

No changes recorded yet.