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.

• Chris Bishop

  IRN CXB01953

  • CF30 Customer (8 Sep 2010 to 21 Sep 2017)
• Chris Stafford

  IRN CXS73851

  • [FCA CF] Significant management (1 Mar 2021 to 30 Sep 2022)
• Clive Bellows

  IRN CAB01095

  • [FCA CF] Manager of certification employee (since 1 Mar 2025)
• Daniel Frazier Waterman

  IRN DFW01025

  • CF30 Customer (21 Sep 2009 to 11 May 2010)
• Daniel George Hines

  IRN DGH01087

  • [FCA CF] Manager of certification employee (since 8 Aug 2024)
  • [FCA CF] Client dealing (since 1 Mar 2020)
  • CF30 Customer (26 Apr 2018 to 8 Dec 2019)
• Daniel Slatter

  IRN DDS01040

  • [FCA CF] Client dealing (since 20 Jan 2025)
• Darren Seary

  IRN DXS87735

  • [FCA CF] Significant management (since 1 Nov 2021)
  • [FCA CF] Material risk taker (since 1 Nov 2021)
• David Alan Copley

  IRN DXC00212

  • [FCA CF] Significant management (since 1 Mar 2020)
• David Andrew Millhouse

  IRN DAM01153

  • CF30 Customer (27 Aug 2009 to 10 Dec 2010)
• David Headland

  IRN DFH01015

  • CF30 Customer (19 Feb 2010 to 29 Jul 2010)
  • CF4 Partner (19 Feb 2010 to 29 Jul 2010)

• 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.