Wellington Management International Limited

• Principal Place of Business

  Wellington Management International Ltd

  80 Victoria Street

  London

  Westminster

  SW1E 5JL

  UNITED KINGDOM

  Phone

  +4402071266000

  Web

  https://www.wellington.com

• Complaints Contact

  Wellington Management International Ltd

  80 Victoria Street

  London

  Westminster

  SW1E 5JL

  UNITED KINGDOM

  Phone

  +4402071266000

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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 Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Silas Brown

  IRN SXB01007

  • [FCA CF] Client dealing (1 Jan 2022 to 22 Jul 2025)
• Simon Henry

  IRN SCH01140

  • [FCA CF] Client dealing (since 1 Aug 2022)
  • CF30 Customer (24 Apr 2008 to 16 Oct 2009)
• Staci Ungar

  IRN SXU01057

  • CF30 Customer (1 Nov 2007 to 7 Feb 2010)
  • CF27 Investment Management (5 Jul 2007 to 31 Oct 2007)
• Stefan Kurt Haselwandter

  IRN SKH01061

  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2024)
  • CF1 Director (17 May 2018 to 8 Dec 2019)
  • CF30 Customer (2 Jan 2018 to 8 Dec 2019)
• Stella Dang

  IRN SXD00275

  • SMF18 Other Overall Responsibility (since 29 Jan 2024)
  • [FCA CF] Material risk taker (24 May 2022 to 29 Jan 2024)
  • [FCA CF] Manager of certification employee (24 May 2022 to 29 Jan 2024)
  • [FCA CF] Client dealing (24 May 2022 to 29 Jan 2024)
• Stephen Joel Boxer

  IRN SJB01637

  • CF30 Customer (1 Oct 2013 to 7 Apr 2017)
• Stephen Klar

  IRN SXK01723

  • CF1 Director (26 Jan 2010 to 2 Jul 2012)
• Steve Hooper

  IRN SXH00828

  • [FCA CF] Client dealing (28 Mar 2022 to 17 Feb 2025)
• Steven Anthony Richter

  IRN SAR01161

  • CF27 Investment Management (15 Jun 2007 to 31 Aug 2007)
• Steven Edgson

  IRN SXE01342

  • [FCA CF] Client dealing (9 Dec 2019 to 26 Oct 2022)

No changes recorded yet.