Numis Securities Limited

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FRN: 144822
Date authorised: 1 April 2013
Companies House: 02285918
Last scraped: 3 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Jonathan Jeremy Creighton Morris
IRN JJM01104
- CF30 Customer (13 Mar 2008 to 5 Sep 2008)
Jonathan Kwok
IRN JXK01162
- CF30 Customer (30 Sep 2008 to 18 Mar 2011)
Jonathan Madron Guy
IRN JMG01106
- [FCA CF] Client dealing (9 Dec 2019 to 17 May 2020)
- CF30 Customer (6 Jan 2016 to 8 Dec 2019)
Jonathan Mark Brennand
IRN JMB01230
- CF21 Investment Adviser (1 Dec 2001 to 1 Mar 2002)
Jonathan Mawson
IRN JXM08928
- [FCA CF] Client dealing (9 Dec 2019 to 11 May 2021)
- CF30 Customer (5 Dec 2018 to 8 Dec 2019)
Jonathan Richard Kuczynski Pierce
IRN JRP01085
- [FCA CF] Client dealing (9 Dec 2019 to 9 May 2024)
- CF30 Customer (5 Dec 2018 to 8 Dec 2019)
Jonathan Scott Loubser
IRN JSL01105
- [FCA CF] Client dealing (9 Dec 2019 to 10 Nov 2022)
- CF30 Customer (31 Jul 2013 to 8 Dec 2019)
Jonathan Wilcox
IRN JDW01077
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (29 Aug 2019 to 8 Dec 2019)
Jonathan William Charles Coubrough
IRN JXC23961
- [FCA CF] Client dealing (9 Dec 2019 to 10 May 2024)
- CF30 Customer (15 Nov 2019 to 8 Dec 2019)
Jonathan William Goslin
IRN JWG01096
- CF30 Customer (8 Apr 2014 to 4 Apr 2018)

Recent activity

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

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.