Stonehage Fleming Financial Services Limited

Date authorised
1 April 2013
Companies House
01516041
Last scraped
3 weeks ago
Watch for changes

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.

  • Authorised to Operate

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

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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.

  • Arranges Asset Safekeeping

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), 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.

  • Insurance Admin

    For Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, 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.

  • Adrian David Edmund Gardner

    IRN ADG01054

    • SMF9 Chair of the Governing Body (2 Oct 2023 to 14 May 2025)
    • SMF3 Executive Director (10 Mar 2020 to 14 May 2025)
  • Ana Cristina Da Silva Ventura

    IRN ACV01008

    • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
    • CF21 Investment Adviser (1 Apr 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (13 Aug 2002 to 1 Apr 2003)
  • Andre Francois Duvenage

    IRN AFD00013

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 15 Jun 2002)
  • Andrew Charles James Rodger

    IRN ACR01112

    • CF1 Director (2 Nov 2009 to 6 Jul 2012)
  • Andrew Clarke

    IRN AXC03334

    • [FCA CF] Manager of certification employee (30 Jun 2022 to 31 Jan 2024)
  • Andrew Rigby Nolan

    IRN ARN01043

    • CF30 Customer (23 Nov 2015 to 22 Jun 2018)
    • CF3 Chief Executive (21 Feb 2014 to 13 Sep 2016)
    • Responsible for Insurance Mediation (1 Nov 2013 to 13 Sep 2016)
    • CF1 Director (1 Nov 2013 to 22 Jun 2018)
  • Anton Hans Sternberg

    IRN AHS01021

    • Responsible for Insurance Distribution (since 28 Jun 2022)
    • SMF3 Executive Director (since 29 Apr 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (30 Jun 2022 to 18 Apr 2024)
    • SMF1 Chief Executive (29 Apr 2022 to 15 Dec 2023)
    • SMF9 Chair of the Governing Body (15 Feb 2020 to 1 May 2020)
    • SMF3 Executive Director (9 Dec 2019 to 1 May 2020)
    • CF30 Customer (22 Nov 2019 to 8 Dec 2019)
    • CF1 Director (22 Nov 2019 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (17 Nov 2003 to 31 Mar 2009)
    • CF3 Chief Executive (17 Nov 2003 to 7 Jun 2011)
    • CF21 Investment Adviser (27 Jan 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (4 Apr 2002 to 27 Jan 2003)
    • CF23 Corporate Finance Adviser (4 Apr 2002 to 1 Oct 2002)
  • Carmella Troise

    IRN CXT01172

    • CF28 Systems and controls (9 Mar 2010 to 2 May 2012)
  • Charles Victor Willcox

    IRN CVW01011

    • CF10 Compliance Oversight (27 Dec 2007 to 19 Jun 2009)
  • Christopher James Merry

    IRN CJM01354

    • SMF9 Chair of the Governing Body (9 Oct 2020 to 23 Aug 2023)
    • SMF3 Executive Director (9 Dec 2019 to 23 Aug 2023)
    • CF1 Director (16 Oct 2019 to 8 Dec 2019)
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Recent activity

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

No changes recorded yet.