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.

• Alison Margaret Clare

  IRN AMC01329

  • CF10 Compliance Oversight (31 Jan 2019 to 22 Aug 2019)
• Alison Pain

  IRN AXP23142

  • [FCA CF] Manager of certification employee (since 1 Nov 2021)
  • [FCA CF] Material risk taker (since 1 Mar 2020)
  • [FCA CF] Significant management (since 1 Mar 2020)
• Ameet Satish Patel

  IRN ASP01036

  • [FCA CF] Client dealing (1 Mar 2020 to 11 Mar 2020)
  • CF30 Customer (12 Dec 2014 to 8 Dec 2019)
• Amelia Elizabeth Braddon

  IRN AET01058

  • SMF27 Partner (since 29 Jan 2025)
  • [FCA CF] Significant management (9 Aug 2022 to 12 Dec 2022)
  • [FCA CF] Client dealing (9 Aug 2022 to 12 Dec 2022)
• Amy Calnan

  IRN AXC03350

  • [FCA CF] Client dealing (1 Mar 2020 to 12 May 2020)
  • CF30 Customer (21 May 2018 to 8 Dec 2019)
• Andrew Hart

  IRN AXH01279

  • [FCA CF] Client dealing (1 Mar 2020 to 18 Mar 2025)
  • CF30 Customer (8 May 2009 to 8 Dec 2019)
  • CF4 Partner (8 May 2009 to 11 Aug 2011)
• Andrew Jeffrey Sabin

  IRN AJS01279

  • CF30 Customer (1 Nov 2007 to 13 Jun 2008)
  • CF4 Partner (1 Oct 2007 to 13 Jun 2008)
  • CF21 Investment Adviser (1 Oct 2007 to 31 Oct 2007)
• Andrew Robert Clayton

  IRN ARC01072

  • SMF27 Partner (9 Dec 2019 to 30 Jun 2021)
  • CF4 Partner (1 May 2016 to 8 Dec 2019)
  • CF4 Partner (AR) (29 Jan 2016 to 15 Jul 2016)
• Andrew Westoby

  IRN ACW01089

  • CF30 Customer (18 Jun 2013 to 31 Mar 2014)
• Annabel Massey

  IRN AXC10713

  • [FCA CF] Client dealing (since 14 Nov 2022)

• 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.