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

  Show 1 limitation Hide limitations

  • · 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.

• Lou Ducasse

  IRN LXD00470

  • [FCA CF] Material risk taker (since 28 Jan 2026)
• Lucy Marguerite McKibbin

  IRN LXM00227

  • [FCA CF] Significant management (since 11 Feb 2026)
  • [FCA CF] Material risk taker (12 Feb 2021 to 11 Feb 2026)
• Michael Alex Roffey

  IRN MAN01032

  • SMF3 Executive Director (since 3 Dec 2024)
  • [FCA CF] Manager of certification employee (since 12 Feb 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 12 Feb 2021)
• Nicola Danese

  IRN NXD01093

  • SMF3 Executive Director (since 3 Dec 2024)
  • [FCA CF] Significant management (since 24 Jun 2021)
  • [FCA CF] Material risk taker (since 24 Jun 2021)
• Patrick Andrew Mayo

  IRN PXM00829

  • [FCA CF] Material risk taker (since 28 Jan 2026)
• Paul Worthy

  IRN PXW00303

  • [FCA CF] Material risk taker (since 8 Mar 2022)
• Simon John Maisey

  IRN SJM01460

  • SMF3 Executive Director (11 Feb 2021 to 1 Jul 2022)
• Thomas Charles Mervyn Britton

  IRN TXB00436

  • [FCA CF] Significant management (since 12 Feb 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 12 Feb 2021)
• Uwe Werner Hillnhuetter

  IRN UXH00007

  • [FCA CF] Significant management (since 12 Feb 2021)
• Zara Pratley

  IRN ZXP01003

  • [FCA CF] Significant management (12 Feb 2021 to 15 Sep 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 12 Feb 2021)

No changes recorded yet.