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.

  • Neil Campling

    IRN NAC01033

    • CF4 Partner (1 Feb 2010 to 11 Aug 2011)
    • CF30 Customer (9 Feb 2009 to 30 May 2014)
  • Neil Gerard Dacey

    IRN NGD01007

    • [FCA CF] Client dealing (since 19 Aug 2024)
    • [FCA CF] Client dealing (1 Mar 2020 to 4 Jul 2024)
  • Neil Hetherington

    IRN NXH01324

    • CF30 Customer (7 Aug 2014 to 29 Jun 2017)
  • Nelly Bebenek

    IRN NXB00285

    • [FCA CF] Significant management (since 7 Oct 2021)
  • Niall Thomas Baird

    IRN NTB01016

    • CF30 Customer (20 Jan 2010 to 30 Jun 2011)
    • CF4 Partner (20 Jan 2010 to 30 Jun 2011)
  • Nicholas Simon Lecompte Tims

    IRN NST01016

    • CF4 Partner (16 Mar 2009 to 22 Mar 2011)
    • CF3 Chief Executive (16 Mar 2009 to 17 Nov 2010)
    • CF30 Customer (16 Mar 2009 to 22 Mar 2011)
  • Noel Daniel O'Connell

    IRN NDO01004

    • [FCA CF] Client dealing (since 1 Mar 2020)
    • CF30 Customer (5 Mar 2012 to 8 Dec 2019)
  • Oliver Leo Sherman

    IRN OLS01003

    • CF30 Customer (30 Jan 2013 to 14 Nov 2018)
  • Oliver Smith

    IRN OXS01257

    • [FCA CF] Client dealing (1 Mar 2020 to 31 Aug 2021)
    • CF30 Customer (29 Nov 2016 to 8 Dec 2019)
  • Olivia Dominique Fildes

    IRN OXF00016

    • [FCA CF] Client dealing (22 Oct 2021 to 31 Mar 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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