Tradeweb Execution Services Limited

• Principal Place of Business

  1 Fore Street Avenue

  London

  EC2Y 9DT

  UNITED KINGDOM

  Phone

  +442037493310

  Web

  https://www.tradeweb.com

• Complaints Contact

  1 Fore Street Avenue

  London

  EC2Y 9DT

  UNITED KINGDOM

  Phone

  +442037493310

• 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, Alternative Debenture, Certificates representing certain security, 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, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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, 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.
  • · Unable to hold financial instruments for own account unless it meets the 'matched principal exemption conditions' in the FSA's Glossary of defined expressions used in the FSA's Handbook

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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, 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.

• Alexander Charles Eric Rutter

  IRN ACR01086

  • [FCA CF] Significant management (since 16 Feb 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (21 Feb 2023 to 21 Nov 2023)
  • SMF16 Compliance Oversight (21 Feb 2023 to 21 Nov 2023)
  • [FCA CF] Material risk taker (12 Feb 2021 to 16 Feb 2026)
• Alicia Berner

  IRN AXB01201

  • [FCA CF] Client dealing (since 2 Nov 2022)
• Ambar Arasan Moorthy

  IRN AXM00605

  • [FCA CF] Significant management (12 Feb 2021 to 10 Mar 2022)
• Andra-Teodora Dumitrescu

  IRN AXD01066

  • [FCA CF] Significant management (since 16 Feb 2026)
  • [FCA CF] Material risk taker (since 9 May 2025)
• Anita Virginia Staussi

  IRN AXS00567

  • SMF3 Executive Director (since 3 Dec 2024)
  • [FCA CF] Material risk taker (since 12 Feb 2021)
• Barnaby John Allan Dalton

  IRN BJD01092

  • SMF3 Executive Director (11 Feb 2021 to 29 Oct 2021)
• Blake Stephenson

  IRN BXS01772

  • SMF16 Compliance Oversight (11 Feb 2021 to 21 Feb 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (11 Feb 2021 to 21 Feb 2023)
• Brett St.John Golledge

  IRN BSG01011

  • [FCA CF] Client dealing (since 2 Dec 2024)
• Charlie Collins

  IRN CXC02313

  • [FCA CF] Manager of certification employee (12 Feb 2021 to 15 Nov 2022)
• ERNEST UHUMWEKPEMA IGBINOSUN

  IRN EUI01000

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Nov 2023)
  • SMF16 Compliance Oversight (since 21 Nov 2023)

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