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.

  • Jeremy Keith Wyett

    IRN JKW01036

    • CF30 Customer (20 Mar 2013 to 29 Apr 2016)
  • Jesse Benjamin Sherman

    IRN JBS01083

    • CF30 Customer (8 Jan 2010 to 7 May 2010)
  • Johan Mathias Wikberg

    IRN JMW01245

    • CF30 Customer (14 Jan 2010 to 11 May 2010)
  • John Felgate

    IRN JXF01710

    • CF30 Customer (17 Jun 2013 to 16 Apr 2014)
  • John Ronald Davie

    IRN JRD01146

    • [FCA CF] Manager of certification employee (since 16 Jun 2025)
    • SMF27 Partner (9 Dec 2019 to 13 Aug 2024)
    • CF4 Partner (1 May 2016 to 8 Dec 2019)
    • CF28 Systems and controls (1 May 2016 to 8 Dec 2019)
    • CF4 Partner (AR) (29 Jan 2016 to 15 Jul 2016)
  • John Thomas Storrs

    IRN JTS01081

    • CF30 Customer (4 Feb 2017 to 25 Mar 2019)
  • Jonathan George Edgar

    IRN JGE01019

    • CF4 Partner (19 Jun 2008 to 12 Sep 2008)
    • CF30 Customer (19 Jun 2008 to 12 Sep 2008)
  • Joshua Adams Bebar

    IRN JAB01610

    • CF30 Customer (4 Feb 2017 to 25 Mar 2019)
  • Joshua Logan

    IRN JXL01231

    • [FCA CF] Significant management (1 Mar 2020 to 12 Jul 2023)
    • [FCA CF] Material risk taker (1 Mar 2020 to 12 Jul 2023)
    • [FCA CF] Client dealing (1 Mar 2020 to 12 Jul 2023)
    • [FCA CF] Manager of certification employee (1 Mar 2020 to 12 Jul 2023)
    • CF30 Customer (20 Apr 2017 to 8 Dec 2019)
  • Julian Morgan Courtney

    IRN JMC01154

    • CF29 Significant management (30 Aug 2011 to 4 Jul 2012)
    • CF28 Systems and controls (17 Aug 2011 to 4 Jul 2012)
    • CF4 Partner (11 Apr 2011 to 4 Jul 2012)
    • CF10 Compliance Oversight (25 Jun 2010 to 4 Aug 2011)
    • CF11 Money Laundering Reporting (25 Jun 2010 to 4 Aug 2011)
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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.

No changes recorded yet.