Stonehage Fleming Dealing and Treasury Services (UK) Limited

• Principal Place of Business

  6 St. James's Square

  London

  SW1Y 4JU

  UNITED KINGDOM

  Phone

  +4402070870000

  Web

  https://www.stonehagefleming.com

• Complaints Contact

  6 St. James's Square

  London

  SW1Y 4JU

  UNITED KINGDOM

  Phone

  +442070365404

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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 Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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.

• Holds Your Assets

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, 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.

• Andrew Clarke

  IRN AXC03334

  • SMF3 Executive Director (11 Dec 2023 to 31 Jan 2024)
• Anton Hans Sternberg

  IRN AHS01021

  • SMF3 Executive Director (since 5 Dec 2024)
• Bailey Moss

  IRN BXM00184

  • [FCA CF] Client dealing (6 Aug 2024 to 2 May 2025)
• Catherine Mary Kenny

  IRN CXK00357

  • SMF3 Executive Director (since 27 Nov 2025)
• DAN BORK MADSEN

  IRN DBM01063

  • [FCA CF] Client dealing (6 Aug 2024 to 2 May 2025)
  • [FCA CF] Manager of certification employee (6 Aug 2024 to 2 May 2025)
• GRAEME GILL

  IRN GXG00280

  • SMF3 Executive Director (since 11 Dec 2023)
  • SMF1 Chief Executive (11 Dec 2023 to 10 Dec 2024)
• Joe Henry Aldred

  IRN JXA14966

  • [FCA CF] Client dealing (6 Aug 2024 to 2 May 2025)
• Joshua Anthony Fouche

  IRN JXF00762

  • SMF3 Executive Director (since 24 Mar 2026)
• Katie Angela Mundell

  IRN KAM01207

  • SMF16 Compliance Oversight (since 11 Dec 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Dec 2023)
• Patrick Blackburn

  IRN PXB01285

  • [FCA CF] CASS oversight function (since 11 Jan 2024)
  • SMF3 Executive Director (since 11 Dec 2023)

No changes recorded yet.