Northern Trust Securities LLP

Date authorised
1 April 2013
Companies House
OC324323
Last scraped
2 weeks ago
Watch for changes

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.

  • James Edward Fay

    IRN JEF01072

    • CF4 Partner (AR) (21 May 2012 to 16 Sep 2014)
    • CF30 Customer (30 Jan 2012 to 16 Sep 2014)
  • James Kent Moir

    IRN JKM01059

    • CF30 Customer (13 Jan 2010 to 10 Dec 2010)
  • James Matson Gore

    IRN JMG01259

    • CF30 Customer (28 Oct 2013 to 15 Jul 2014)
  • James Richard Santo

    IRN JRS01241

    • CF30 Customer (26 Jun 2014 to 29 Jun 2017)
  • James Timothy Hunter

    IRN JTH01034

    • CF30 Customer (19 Jun 2008 to 10 May 2010)
    • CF4 Partner (19 Jun 2008 to 10 May 2010)
  • Jamie Frank Perryman

    IRN JFP01022

    • [FCA CF] Client dealing (since 1 Mar 2020)
    • [FCA CF] Material risk taker (13 Jul 2021 to 1 Mar 2022)
    • CF30 Customer (2 Oct 2017 to 8 Dec 2019)
  • Jamie Lee Rose

    IRN JLR01081

    • CF30 Customer (9 Apr 2008 to 21 Sep 2012)
  • Jamila Yusufali

    IRN JXY00002

    • [FCA CF] Significant management (since 8 Jan 2025)
    • [FCA CF] Significant management (5 Apr 2022 to 29 Apr 2022)
  • Jason Andrew Giese

    IRN JXG00630

    • [FCA CF] Client dealing (29 Mar 2023 to 31 Mar 2023)
  • Jeremy James Power

    IRN JJP01044

    • CF4 Partner (11 Apr 2011 to 11 Aug 2011)
    • CF30 Customer (5 May 2009 to 14 Oct 2013)
Show more

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.