Numis Securities Limited

• Principal Place of Business

  Deutsche Bank Ag

  21 Moorfields

  London

  City Of London

  EC2Y 9DB

  UNITED KINGDOM

  Phone

  +4402072601000

  Web

  https://www.dbnumis.com

• Complaints Contact

  Deutsche Bank Ag

  21 Moorfields

  London

  City Of London

  EC2Y 9DB

  UNITED KINGDOM

  Phone

  +442075458000

• Financial Benchmarks

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Spread Bet, Unit, Warrant

  Show 3 limitations Hide limitations

  • · The investment type "unit" is limited to customer types "professional client" and "eligible counterparty".
  • · Limited to Corporate Finance business when advising Retail clients
  • · 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, Retail (Investment), Certificates representing certain security, 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), Share, Unit, Warrant

  Show 3 limitations Hide limitations

  • · The investment type "unit" is limited to customer types "professional client" and "eligible counterparty".
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, 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, Retail (Investment), Certificates representing certain security, 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), 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, Retail (Investment), Certificates representing certain security, 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), Share, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, Unit, Warrant

  Show 3 limitations Hide limitations

  • · The investment type "unit" is limited to customer types "professional client" and "eligible counterparty".
  • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "contract for differences (excluding a spread bet and a rolling spot forex contract)" and "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Share, 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.

• Carl Harvey Franklin

  IRN CXF01145

  • CF30 Customer (1 Nov 2007 to 14 Dec 2007)
  • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
• Caroline Galley

  IRN CXG00211

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Mar 2020)
• Caspar Nathaniel Richard Samuel Trenchard

  IRN CNT01008

  • CF21 Investment Adviser (1 Sep 2003 to 25 Apr 2005)
• Catherine Beris James

  IRN CBJ01006

  • SMF11 Chair of the Audit Committee (23 May 2022 to 13 Oct 2023)
  • CF2 Non Executive Director (15 May 2014 to 8 Dec 2019)
• Catherine Rachel Moy

  IRN CRM01036

  • CF30 Customer (1 Nov 2007 to 14 Jul 2008)
  • CF21 Investment Adviser (30 Jul 2007 to 31 Oct 2007)
• Ceri Elizabeth Morgan

  IRN CXM01327

  • [FCA CF] Client dealing (9 Dec 2019 to 20 Jul 2021)
  • CF30 Customer (25 Jan 2016 to 8 Dec 2019)
• Charles Alexander Evan Spicer

  IRN CAS01079

  • CF1 Director (8 Dec 2003 to 1 Dec 2005)
  • CF23 Corporate Finance Adviser (8 Dec 2003 to 7 Jul 2006)
• Charles Anthony Crick

  IRN CAC01086

  • CF1 Director (1 Dec 2001 to 31 Dec 2004)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Dec 2004)
• Charles David Cade

  IRN CDC01036

  • CF30 Customer (1 Sep 2008 to 1 Oct 2019)
• Charles Farquhar

  IRN CWF00011

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (20 Oct 2004 to 31 Oct 2007)

No changes recorded yet.