Northern Trust Securities LLP

Date authorised
1 April 2013
Companies House
OC324323
Last scraped
2 weeks ago
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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.

  • Mark Sutherland

    IRN MXS01955

    • CF30 Customer (19 Dec 2011 to 16 Sep 2014)
  • Mark Taylor

    IRN MDT01047

    • CF4 Partner (18 Feb 2009 to 11 Aug 2011)
    • CF30 Customer (1 Nov 2007 to 4 Oct 2017)
    • CF26 Customer Trading (10 Jul 2007 to 31 Oct 2007)
  • Mark Walker

    IRN MXW01737

    • SMF1 Chief Executive (since 11 Jul 2021)
    • SMF27 Partner (since 11 Jul 2021)
    • [FCA CF] Client dealing (1 Mar 2020 to 11 Jul 2021)
    • CF30 Customer (19 Jul 2017 to 8 Dec 2019)
  • Max Charles Edward Luck-Hille

    IRN MCL01069

    • CF30 Customer (1 Nov 2007 to 12 Sep 2008)
    • CF21 Investment Adviser (27 Jul 2007 to 31 Oct 2007)
  • Maxwell Thomas John Elvidge

    IRN MTE01003

    • [FCA CF] Client dealing (1 Mar 2020 to 2 Sep 2020)
    • CF30 Customer (22 Sep 2010 to 8 Dec 2019)
  • Michael Adam Kaye

    IRN MAK01091

    • CF30 Customer (24 Jun 2015 to 23 Jul 2015)
  • Michael Brown

    IRN MXB03446

    • CF30 Customer (8 Apr 2015 to 31 Mar 2016)
  • Michael Matthias Aslett

    IRN MMA01010

    • CF4 Partner (11 Aug 2009 to 10 Aug 2011)
    • CF30 Customer (1 Nov 2007 to 30 Aug 2013)
    • CF21 Investment Adviser (12 Jul 2007 to 31 Oct 2007)
  • Mike Mahoney

    IRN MAM01327

    • [FCA CF] Client dealing (18 Aug 2022 to 4 May 2024)
    • CF30 Customer (3 Nov 2017 to 25 Mar 2019)
  • Nadia Taylor-Anjous

    IRN NXT00129

    • [FCA CF] Client dealing (9 Dec 2021 to 11 Jan 2022)
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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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