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.

  • Anne-Maria Wilfling-Rothenstein

    IRN AXW02335

    • CF10 Compliance Oversight (8 May 2017 to 14 Jan 2019)
  • Ashley Aaron Joye

    IRN AAJ01018

    • CF3 Chief Executive (AR) (13 Feb 2012 to 15 Sep 2014)
    • CF4 Partner (AR) (13 Feb 2012 to 15 Sep 2014)
    • CF30 Customer (14 Dec 2011 to 15 Sep 2014)
  • Benedict Guy Williams

    IRN BGW01020

    • CF30 Customer (9 Sep 2009 to 11 May 2010)
  • Benjamin Jean Billiard

    IRN BJB01076

    • CF30 Customer (16 Apr 2014 to 12 Sep 2014)
  • Benjamin Rowan Brownette

    IRN BRB01052

    • CF30 Customer (25 Aug 2016 to 20 Jun 2017)
  • Bharminder Chouhan

    IRN BXC01480

    • CF11 Money Laundering Reporting (12 Aug 2011 to 6 Feb 2015)
    • CF10 Compliance Oversight (12 Aug 2011 to 6 Feb 2015)
  • Cameron Duncan Footer

    IRN CDF01020

    • CF4 Partner (AR) (15 Mar 2012 to 6 Jun 2016)
    • CF3 Chief Executive (AR) (15 Mar 2012 to 6 Jun 2016)
    • CF30 Customer (28 Feb 2012 to 25 Mar 2019)
  • Carla Benages

    IRN CXB01261

    • CF30 Customer (14 Dec 2011 to 15 Sep 2014)
  • Carol Marie O’Connor

    IRN CXO00094

    • [FCA CF] Significant management (since 27 Sep 2023)
  • Carole Collier

    IRN CXC01162

    • [FCA CF] Manager of certification employee (since 19 Mar 2026)
    • [FCA CF] Significant management (18 Oct 2024 to 24 Oct 2024)
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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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