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.

  • Thanas Loli

    IRN TXL00001

    • [FCA CF] Significant management (since 23 Jan 2026)
  • Thomas Michael Jennings

    IRN TMJ01024

    • CF30 Customer (23 Jan 2013 to 15 Sep 2014)
  • Timothy Simon George Stevens

    IRN TSS01019

    • [FCA CF] Client dealing (3 Oct 2022 to 24 Oct 2022)
  • Tobias Clothier

    IRN TGC01018

    • CF30 Customer (8 Jun 2012 to 4 Oct 2017)
  • Toby Philip Glaysher

    IRN TPG01004

    • CF4 Partner (1 May 2016 to 4 Oct 2017)
    • CF4 Partner (AR) (29 Jan 2016 to 15 Jul 2016)
  • Trent Michael Reavell

    IRN TMR01060

    • [FCA CF] Client dealing (1 Mar 2020 to 31 Mar 2023)
    • CF30 Customer (21 Sep 2017 to 8 Dec 2019)
  • Trevor Hunt

    IRN TXH01352

    • CF30 Customer (29 Jul 2011 to 5 Jul 2013)
  • Wayne Pullin

    IRN WXP01104

    • [FCA CF] Significant management (13 Oct 2021 to 20 Dec 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Oct 2021)
    • CF10 Compliance Oversight (22 Aug 2019 to 8 Dec 2019)
  • Wayne Robert Snell

    IRN WRS01022

    • [FCA CF] Client dealing (1 Mar 2020 to 16 May 2022)
    • CF30 Customer (26 Mar 2018 to 8 Dec 2019)
  • William Frederick Nutting

    IRN WFN01000

    • CF4 Partner (9 Jun 2008 to 3 Sep 2009)
    • CF30 Customer (9 Jun 2008 to 3 Sep 2009)
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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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