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

  Show 1 limitation Hide limitations

  • · 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.

• Robert Simeon Lord

  IRN RSL01054

  • CF30 Customer (20 Jun 2008 to 12 Sep 2008)
• Robert William Miller

  IRN RWM01063

  • [FCA CF] Client dealing (22 Jun 2020 to 11 Apr 2025)
• Roger Aburrow

  IRN RXA00065

  • [FCA CF] Significant management (5 Apr 2022 to 16 Aug 2022)
• Rory Gerald Kemper

  IRN RXK00441

  • [FCA CF] Significant management (since 1 Mar 2024)
• Ryan McCabe

  IRN RXM02015

  • [FCA CF] Client dealing (1 Mar 2020 to 31 Mar 2023)
  • CF30 Customer (10 Apr 2012 to 8 Dec 2019)
• Samuel James Turner

  IRN SXT01429

  • CF30 Customer (14 Jan 2008 to 5 Sep 2008)
• Samuel Tresadern

  IRN SXT02290

  • [FCA CF] Client dealing (since 2 May 2023)
• Sanjay Ramesh Patel

  IRN SRP01038

  • CF30 Customer (8 Feb 2010 to 11 May 2010)
• Simon Abbott

  IRN SXA00542

  • SMF16 Compliance Oversight (since 19 Mar 2026)
  • [FCA CF] Manager of certification employee (5 Nov 2024 to 19 Mar 2026)
  • [FCA CF] Significant management (14 Feb 2022 to 3 Jun 2024)
• Simon McDonough

  IRN SXM04189

  • [FCA CF] Significant management (1 Mar 2022 to 31 Mar 2023)
  • [FCA CF] Manager of certification employee (11 Mar 2020 to 31 Mar 2023)
  • [FCA CF] Client dealing (1 Mar 2020 to 31 Mar 2023)
  • CF30 Customer (22 Jul 2017 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.