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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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 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.

• 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 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.

• 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 Hide 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 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.

• Gerard Charles Walsh

  IRN GXW08039

  • [FCA CF] Manager of certification employee (1 Mar 2020 to 1 Mar 2021)
  • [FCA CF] Client dealing (1 Mar 2020 to 9 Aug 2022)
  • [FCA CF] Material risk taker (1 Mar 2020 to 1 Aug 2020)
  • [FCA CF] Significant management (1 Mar 2020 to 9 Aug 2022)
  • CF30 Customer (12 Nov 2018 to 2 Dec 2019)
• Glenn Robert Poulter

  IRN GRP01033

  • SMF27 Partner (9 Dec 2019 to 11 Jul 2021)
  • SMF1 Chief Executive (9 Dec 2019 to 11 Jul 2021)
  • CF3 Chief Executive (20 Aug 2019 to 8 Dec 2019)
  • CF4 Partner (20 Aug 2019 to 8 Dec 2019)
  • CF30 Customer (5 Apr 2018 to 8 Dec 2019)
• Gordon Black

  IRN GXB00303

  • [FCA CF] Significant management (since 5 Feb 2024)
  • [FCA CF] Significant management (21 Jun 2021 to 17 Nov 2023)
• Grant Alan Turner

  IRN GAT01019

  • CF30 Customer (3 Mar 2010 to 10 Dec 2010)
• Gregg Howard Cohen

  IRN GXC01375

  • CF30 Customer (5 Mar 2013 to 27 Feb 2017)
• Hanneke Verweij

  IRN HXV00004

  • [FCA CF] Significant management (5 Apr 2022 to 16 Aug 2022)
• Harshveer Singh

  IRN HXS75838

  • [FCA CF] Client dealing (since 30 Mar 2020)
• Helen Eastwood

  IRN HXD01233

  • CF30 Customer (28 Jan 2014 to 25 Mar 2019)
• Hollis Elisabeth Merritt

  IRN HXO90827

  • [FCA CF] Material risk taker (1 Dec 2020 to 10 May 2023)
  • [FCA CF] Significant management (1 Dec 2020 to 10 May 2023)
• Iain Stephen Vaughan

  IRN ISV01003

  • [FCA CF] Manager of certification employee (8 Aug 2024 to 1 Sep 2025)
  • [FCA CF] Material risk taker (2 Oct 2023 to 1 Sep 2025)
  • [FCA CF] Client dealing (1 Mar 2020 to 1 Sep 2025)
  • CF30 Customer (8 Jan 2018 to 8 Dec 2019)

• 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.