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.

• Harry Laszlo Kennedy Bede

  IRN HXB00402

  • [FCA CF] Client dealing (since 5 Jun 2025)
• Havish Patel

  IRN HXP00099

  • [FCA CF] Client dealing (since 10 Aug 2020)
• Henrik Jan Gustav Johnsson

  IRN HJJ00007

  • SMF9 Chair of the Governing Body (20 Dec 2023 to 11 Dec 2025)
• Henry Gardiner Ernest Jenkins

  IRN HGJ01005

  • CF30 Customer (1 Nov 2007 to 30 May 2008)
  • CF10 Compliance Oversight (1 Dec 2001 to 30 May 2008)
  • CF1 Director (1 Dec 2001 to 30 May 2008)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 30 May 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Henry Oscar Nicol

  IRN HXN20944

  • [FCA CF] Client dealing (9 Dec 2019 to 26 Jun 2021)
  • CF30 Customer (26 Sep 2019 to 8 Dec 2019)
• Henry Quentin Alexander Findlater

  IRN HQF01001

  • CF30 Customer (1 Nov 2007 to 27 Apr 2010)
  • CF21 Investment Adviser (31 Dec 2004 to 31 Oct 2007)
• Henry Samuel Balmforth Slater

  IRN HXS15768

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Sep 2025)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Henry Trueman

  IRN HXT01269

  • CF30 Customer (17 Mar 2015 to 13 Mar 2018)
• Heraclis Economides

  IRN HAE01006

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF18 Other Overall Responsibility (6 Mar 2020 to 31 Dec 2020)
  • CF30 Customer (13 Nov 2008 to 8 Dec 2019)
• Howard David Seymour

  IRN HDS01020

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 Jan 2008 to 8 Dec 2019)

No changes recorded yet.