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Moelis & Company LLC is a US broker dealer registered with the United States Financial Industry Regulatory Authority, Inc. and regulated by the United States Securities and Exchange Commission.
Customer Complaint Notice Disclosure Statement
In accordance with SEC Rule 17a-3(a)(18)(ii) complaints may be reported to the Chief Compliance Officer immediately by telephone at (212) 883-3800 or by mail at the following address: Moelis & Company LLC 399 Park Avenue New York, NY 10022 Attn: Compliance
Moelis & Company UK LLP (Company registered number OC 340005; registered address and principal office at 1st Floor Condor House, 10 St Paul’s Churchyard, London EC4M 8AL, United Kingdom) is authorised and regulated by the UK Financial Conduct Authority (“FCA”) with Firm Reference Number 516801. The partners of Moelis & Company UK LLP are: Moelis & Company UK Holdings B Limited and Moelis & Company UK Holdings C Limited.
Moelis & Company UK LLP DIFC Branch is a branch of our FCA regulated entity, and is authorised and regulated by the Dubai Financial Services Authority (“DFSA”). Services provided are only available to Professional Clients and Market Counterparties as defined by the DFSA.
Moelis & Company Europe Limited is a company incorporated under the law of England and Wales with a limited liability resident in 1st Floor, Condor House, 10 St Paul´s Churchyard, London EC4M 8AL United Kingdom, registered at the Companies House for England and Wales under registration number 7888301. Directors: Mark Aedy and Neel Malviya.
Moelis & Company Europe Limited, Zweigniederlassung Frankfurt am Main (Frankfurt am Main Branch) is registered in the Commercial Register (Handelsregister) of the Local Court (Amtsgericht) of Frankfurt am Main, Germany, under registration number HRB 92956, having its business address at 8th Floor Office, TaunusTurm, Neue Mainzer Straße 33 – 37, Taunustor 1 – 3, 60310 Frankfurt am Main, Germany.
Moelis & Company Europe Limited ist eine Gesellschaft englischen Rechts mit beschränkter Haftung mit Sitz in 1st Floor, Condor House, 10 St Paul’s Churchyard, London EC4M 8AL Vereinigtes Königreich, eingetragen beim Gesellschaftsregisteramt für England und Wales unter der Nummer 7888301. Direktors (Directors): Mark Aedy und Neel Malviya.
Moelis & Company Europe Limited, Zweigniederlassung Frankfurt am Main ist im Handelsregister des Amtsgerichts Frankfurt am Main, Deutschland, unter HRB 92956 eingetragen. Ihre inländische Geschäftsanschrift lautet 8th Floor Office, TaunusTurm, Neue Mainzer Straße 33 – 37, Taunustor 1 – 3, 60310 Frankfurt am Main, Deutschland.
Moelis & Company Netherlands B.V. is a private company with limited liability (besloten vennootschap met beperkte aansprakelijkheid) under the laws of the Netherlands, having its official seat in Amsterdam, the Netherlands, and its registered office at Hoogoorddreef 15,1101 BA Amsterdam, the Netherlands, registered with the Dutch Trade Register under number 75678853.
Moelis & Company Asia Limited, company number 1398698, is a corporation licensed by the Securities and Futures Commission in Hong Kong (with CE No. AT1825) to engage in Type 1 (dealing in securities) and Type 6 (advising on corporate finance) regulated activities.
Moelis & Company Consulting (Beijing) Company Limited is a company incorporated in the People’s Republic of China to engage in investment consultancy, business consultancy and related activities. It is not registered with the China Securities Regulatory Commission or other regulatory authorities in the People’s Republic of China to conduct any regulated activities.
Moelis & Company Netherlands B.V., French branch / Succursale en France – 121, avenue des Champs-Elysées, 75008 Paris – 890 713 498 RCS Paris, is the French branch of Moelis & Company Netherlands B.V., a private company with limited liability (besloten vennootschap met beperkte aansprakelijkheid) under the laws of the Netherlands, having its official seat in Amsterdam, the Netherlands, and its registered office at Hoogoorddreef 15,1101 BA Amsterdam, the Netherlands, is registered with the Dutch Trade Register under number 75678853.
Moelis & Company India Private Limited (CIN: U67190MH2012FTC231419) is a company incorporated in India and registered as a merchant banker with the Securities and Exchange Board of India and regulated by it. It engages in merchant banking and investment advisory services.
If any communication contains ‘sensitive personal data or information’ as defined in the Indian Information Technology (Reasonable security practices and procedures and sensitive personal data or information) Rules, 2011, then use of such information will be governed by the rules and the Information Technology Act, 2000.
Moelis & Company Assessoria Financeira Ltda. is a company incorporated in Brazil which engages in investment advisory services. The company is enrolled under CNPJ/MF No. 18,835,253/0001-40 and its headquarters are located in the city of São Paulo, state of São Paulo. Moelis & Company Assessoria Financeira Ltda. is not registered with any governmental or regulatory authority in Brazil to conduct any regulated activities.
To learn more about Moelis, please visit www.moelis.com.