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

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  • · 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.

• Jack Henderson

  IRN JXH00488

  • [FCA CF] Client dealing (since 9 Dec 2019)
• Jacqueline Helen Cheshire

  IRN JHW00040

  • CF1 Director (31 Oct 2008 to 30 Oct 2009)
  • CF30 Customer (1 Nov 2007 to 30 Oct 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• James Charles Brown Macready

  IRN JXM00596

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Sep 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2020)
• Joann Margaret O'Brien

  IRN JMO00028

  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 30 May 2002)
• John Desmond Veale

  IRN JDV01009

  • CF30 Customer (1 Nov 2007 to 22 Nov 2007)
  • CF21 Investment Adviser (30 Nov 2006 to 31 Oct 2007)
• John Edward Rigby Nolan

  IRN JEN00001

  • CF1 Director (29 Jan 2010 to 15 Sep 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2004)
• Kate Boswell

  IRN KXB01799

  • SMF3 Executive Director (since 3 Nov 2023)
  • [FCA CF] Manager of certification employee (since 12 Jun 2023)
  • [FCA CF] Client dealing (since 12 Jun 2023)
• 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)
• Katie Angela Mundell

  IRN KAM01207

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 May 2021)
  • SMF16 Compliance Oversight (since 24 May 2021)
• Kieren Doveton Stuttaford

  IRN KDS00024

  • CF30 Customer (1 Nov 2007 to 22 Nov 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.