Stonehage Fleming Financial Services 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

• 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 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

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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 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 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.

• 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 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.

• David Faviell Fletcher

  IRN DFF01005

  • CF1 Director (1 Jun 2015 to 1 Oct 2019)
• David James Moran

  IRN DJM01420

  • CF13 Finance (4 Feb 2004 to 31 Aug 2005)
• David Kenneth Maxwell

  IRN DKM01040

  • SMF16 Compliance Oversight (9 Dec 2019 to 18 Nov 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (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)
• David McLellan

  IRN DXM02475

  • CF1 Director (30 Apr 2013 to 5 Dec 2013)
• Edward Becton Davis

  IRN EBD01018

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

  IRN EXD00246

  • [FCA CF] Client dealing (since 27 Aug 2024)
• Edwin Oblowitz

  IRN EXO01204

  • CF1 Director (27 May 2015 to 10 Jul 2019)
• Eric Fisher

  IRN EXF01044

  • CF30 Customer (1 Nov 2007 to 22 Nov 2007)
  • CF21 Investment Adviser (17 Oct 2005 to 31 Oct 2007)
• Ezra Sofer

  IRN EXS00039

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2019)
  • CF30 Customer (17 Nov 2015 to 8 Dec 2019)
  • CF3 Chief Executive (7 Jun 2011 to 17 Feb 2014)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 12 Dec 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 30 Sep 2016)
  • CF1 Director (1 Dec 2001 to 7 Jun 2011)
• Francesca Waite

  IRN FXM00193

  • [FCA CF] Client dealing (since 1 Jul 2022)

No changes recorded yet.