Northern Trust Securities LLP

Date authorised
1 April 2013
Companies House
OC324323
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    50 Bank Street
    London
    E14 5NT
    UNITED KINGDOM
    Phone
    +442079822000
    Web
    https://www.northerntrust.com

  • Complaints Contact

    50 Bank Street
    London
    E14 5NT
    UNITED KINGDOM
    Phone
    +442079822000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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, 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 3 limitations
    • · Unable to hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook.
    • · Unable to underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis.
    • · 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

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • . Aviate Equities Ltd

    IRN XXA01159

    • CF4 Partner (25 Aug 2010 to 4 May 2016)
  • . Northern Trust Corporation

    IRN XXN01082

    • CF4 Partner (1 May 2016 to 1 Aug 2016)
    • CF4 Partner (AR) (1 May 2016 to 21 Jun 2016)
  • . Northern Trust Equities Limited

    IRN XXD01105

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (AR) (1 May 2016 to 21 Jun 2016)
    • CF4 Partner (1 May 2016 to 8 Dec 2019)
  • . The Northern Trust International Banking

    IRN XXT01169

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (1 May 2016 to 8 Dec 2019)
    • CF4 Partner (AR) (1 May 2016 to 21 Jun 2016)
  • Adam Edgar

    IRN AXE01242

    • CF30 Customer (1 Jun 2009 to 10 Dec 2010)
  • Adam Hallsworth

    IRN AXH73847

    • SMF27 Partner (since 13 Aug 2024)
    • [FCA CF] Significant management (since 1 Mar 2020)
    • [FCA CF] Material risk taker (since 1 Mar 2020)
  • Alan Edward Taylor

    IRN AET01028

    • CF4 Partner (AR) (17 Jan 2012 to 15 Sep 2014)
    • CF30 Customer (19 Dec 2011 to 15 Sep 2014)
  • Alasdair Ferguson Douglas

    IRN AFD01048

    • CF4 Partner (18 Dec 2012 to 1 May 2016)
  • Alastair Matthew Sandler

    IRN AMS01248

    • [FCA CF] Client dealing (1 Mar 2020 to 11 Jun 2021)
    • CF30 Customer (18 Oct 2010 to 8 Dec 2019)
  • Alex Robert Williams

    IRN ARW01126

    • [FCA CF] Manager of certification employee (since 8 Aug 2024)
    • [FCA CF] Material risk taker (since 2 Oct 2023)
    • [FCA CF] Client dealing (since 1 Mar 2020)
    • CF30 Customer (2 Sep 2013 to 8 Dec 2019)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

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