Northern Trust Securities LLP

• 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

• 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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.

• Peter Richard Hawkins

  IRN PRH01172

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Feb 2026)
  • CF11 Money Laundering Reporting (25 Aug 2016 to 8 Dec 2019)
• Raj Shishir Chande

  IRN RSC01064

  • CF30 Customer (1 Nov 2007 to 27 Aug 2010)
  • CF21 Investment Adviser (24 Sep 2007 to 31 Oct 2007)
  • CF26 Customer Trading (24 Sep 2007 to 31 Oct 2007)
• Rene David Naya

  IRN RDN01011

  • [FCA CF] Client dealing (since 2 May 2023)
• Riccardo Ronco

  IRN RXR01110

  • CF30 Customer (16 Apr 2010 to 31 Mar 2016)
• Richard Edward Coleman Jones

  IRN REJ01021

  • CF30 Customer (1 Nov 2007 to 15 Jul 2011)
  • CF26 Customer Trading (19 Jul 2007 to 31 Oct 2007)
• Richard Wilson

  IRN RXW01277

  • [FCA CF] Client dealing (since 20 Jan 2025)
• Robert Daniel Angel

  IRN RXA00215

  • [FCA CF] Manager of certification employee (since 19 Mar 2026)
  • SMF16 Compliance Oversight (12 Oct 2021 to 1 Mar 2024)
  • [FCA CF] Material risk taker (1 Oct 2021 to 12 Oct 2021)
  • [FCA CF] Significant management (1 Oct 2021 to 12 Oct 2021)
• Robert James Hugh Buckley

  IRN RJB01385

  • CF30 Customer (28 Jan 2014 to 11 Nov 2016)
• Robert James Stringer

  IRN RJS01230

  • [FCA CF] Client dealing (since 1 Mar 2020)
• Robert Lauriston John Arnott

  IRN RLA01012

  • [FCA CF] Manager of certification employee (27 May 2021 to 31 Mar 2023)
  • [FCA CF] Material risk taker (1 Mar 2020 to 31 Mar 2023)
  • [FCA CF] Client dealing (1 Mar 2020 to 31 Mar 2023)
  • [FCA CF] Significant management (1 Mar 2020 to 31 Mar 2023)
  • CF30 Customer (11 Jul 2012 to 8 Dec 2019)

• Aviate Live Limited (no longer appointed)

  FRN 576071 · Appointed 27 Feb 2012 · Until 19 Apr 2016

• Aviate Convertibles LLP (no longer appointed)

  FRN 575878 · Appointed 23 Feb 2012 · Until 4 Jul 2016

• Aviate Futures LLP (no longer appointed)

  FRN 571987 · Appointed 3 Jan 2012 · Until 15 Sep 2014

• Aviate Global LP (no longer appointed)

  FRN 525930 · Appointed 15 Jun 2010 · Until 21 Nov 2012

No changes recorded yet.