Northern Trust Securities LLP

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FRN: 465131
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
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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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Stefano Bertolini
IRN SXB02163
- CF30 Customer (30 Nov 2017 to 14 Nov 2018)
Stephen Joseph Miller
IRN SJM01633
- CF30 Customer (24 May 2018 to 14 Jun 2019)
Stephen Robert Deighton
IRN SRD01044
- CF4 Partner (AR) (17 Jan 2012 to 15 Sep 2014)
- CF30 Customer (20 Dec 2011 to 15 Sep 2014)
Stuart Graham Patterson
IRN SGP01076
- [FCA CF] Client dealing (since 4 Aug 2025)
Stuart James Borner
IRN SJB01263
- CF30 Customer (5 Jan 2012 to 15 Sep 2014)
Stuart John Goddard
IRN SJG01244
- [FCA CF] Client dealing (27 May 2021 to 31 Mar 2023)
Stuart Ralph Rawlings
IRN SRR01032
- CF30 Customer (24 Jun 2013 to 15 Sep 2014)
Surabi Chandirasekaran
IRN SXC62757
- [FCA CF] Client dealing (3 Apr 2023 to 27 Oct 2025)
Suthagar Ponniah
IRN SXP01912
- [FCA CF] Significant management (since 1 Mar 2020)
- [FCA CF] Material risk taker (since 1 Mar 2020)
- CF28 Systems and controls (8 Dec 2016 to 8 Dec 2019)
Tara Michelle Dziengel
IRN TXD00372
- [FCA CF] Material risk taker (since 24 Mar 2026)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.