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.

• Steven Jones

  IRN SRJ01045

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (28 Oct 2009 to 8 Dec 2019)
• Sukhy Sambhi

  IRN SXS03039

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (24 Sep 2018 to 8 Dec 2019)
• Sunil Vijay Kapadia

  IRN SVK00006

  • [FCA CF] Client dealing (9 Dec 2019 to 7 Jun 2022)
  • CF30 Customer (15 Jul 2019 to 8 Dec 2019)
• Supriya Menon

  IRN SXM02091

  • [FCA CF] Client dealing (since 8 Mar 2022)
• Susan Chacko

  IRN SXC02347

  • [FCA CF] Manager of certification employee (since 9 Dec 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (25 Jul 2019 to 8 Dec 2019)
• Susanne Ballauff

  IRN SXB01781

  • Director of firm who is not a certification employee or a SMF manager (8 Apr 2024 to 30 Jun 2025)
  • SMF11 Chair of the Audit Committee (19 May 2023 to 8 Apr 2024)
  • SMF3 Executive Director (9 Dec 2019 to 19 May 2023)
  • CF1 Director (12 Jan 2018 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (18 Aug 2005 to 31 Oct 2007)
• Tamarae Lopez

  IRN TXL08859

  • [FCA CF] Client dealing (21 Feb 2022 to 13 Jun 2023)
• Tara Stilwell

  IRN TXS01799

  • CF30 Customer (3 Nov 2014 to 8 Dec 2019)
• Tarika Narula

  IRN TXN00058

  • [FCA CF] Client dealing (11 Feb 2022 to 31 Dec 2024)
• Ted Alexander Gilchrist

  IRN TAG01067

  • CF1 Director (1 Jan 2016 to 31 Dec 2017)
  • CF30 Customer (25 Jan 2012 to 31 Mar 2014)

No changes recorded yet.