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.

  • Oscar William Fordham Nilsson

    IRN OWN01000

    • CF30 Customer (4 Dec 2007 to 31 Dec 2008)
  • Paul Andrew Hopper

    IRN PXA01338

    • CF30 Customer (16 Mar 2010 to 17 Jan 2011)
  • Paul David Moran

    IRN PDM01086

    • [FCA CF] Client dealing (1 Mar 2020 to 1 Sep 2020)
    • CF4 Partner (23 Apr 2009 to 11 Aug 2011)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Aug 2007 to 31 Oct 2007)
  • Paul Matthew Denton

    IRN PMD01066

    • [FCA CF] Significant management (since 5 Nov 2024)
  • Paul Nolan

    IRN PXN01299

    • CF11 Money Laundering Reporting (1 May 2016 to 31 May 2016)
  • Paula Mary Kenee

    IRN PMK01017

    • SMF27 Partner (since 8 Jul 2021)
    • SMF9 Chair of the Governing Body (since 8 Jul 2021)
    • [FCA CF] Significant management (15 Sep 2020 to 8 Jul 2021)
  • Penelope Jane Biggs

    IRN PJB01211

    • CF4 Partner (11 Apr 2017 to 26 Jun 2019)
  • Peter Homan

    IRN PBH01022

    • [FCA CF] Manager of certification employee (since 1 Mar 2020)
    • [FCA CF] Material risk taker (since 1 Mar 2020)
    • [FCA CF] Significant management (since 1 Mar 2020)
    • [FCA CF] Client dealing (since 1 Mar 2020)
    • CF30 Customer (1 Oct 2018 to 8 Dec 2019)
  • Peter James Grayson

    IRN PJG01212

    • CF11 Money Laundering Reporting (22 Jun 2015 to 25 Aug 2016)
    • CF4 Partner (18 Jul 2014 to 29 Jun 2018)
    • CF10 Compliance Oversight (14 Feb 2008 to 17 May 2010)
    • CF30 Customer (1 Nov 2007 to 29 Jun 2018)
    • CF26 Customer Trading (10 Jul 2007 to 31 Oct 2007)
  • Peter Lester

    IRN PRL01048

    • CF30 Customer (4 Dec 2013 to 22 Oct 2018)
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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.

No changes recorded yet.