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.

• Natasha Hill

  IRN NXH01484

  • CF30 Customer (15 Mar 2012 to 27 Aug 2012)
• Nathan Brown

  IRN NSB01038

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (14 Apr 2008 to 8 Dec 2019)
• Nathaniel Janks

  IRN NXJ01235

  • CF30 Customer (17 Feb 2015 to 26 Jun 2018)
• Nelida Lifac

  IRN NXL01131

  • CF11 Money Laundering Reporting (9 Jun 2008 to 5 Aug 2008)
  • CF10 Compliance Oversight (9 Jun 2008 to 5 Aug 2008)
• Niall Francis Devins

  IRN NFD01007

  • CF27 Investment Management (1 Dec 2001 to 28 Jan 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2004)
  • CF1 Director (1 Dec 2001 to 31 Oct 2004)
• Niamh O'Connor

  IRN NXO01129

  • [FCA CF] Client dealing (since 2 Aug 2021)
• Nicholas Charles Trevor Stamp

  IRN NCS01048

  • CF30 Customer (7 Jul 2010 to 2 Aug 2011)
  • CF21 Investment Adviser (9 Sep 2005 to 31 Oct 2007)
• Nicholas David Coulter

  IRN NDC01033

  • CF30 Customer (3 Mar 2008 to 23 Jul 2010)
• Nicholas David Edward Stockman

  IRN NDS01041

  • SMF18 Other Overall Responsibility (since 20 Feb 2020)
  • CF30 Customer (13 Oct 2008 to 8 Dec 2019)
• Nicholas Harcourt Johnson

  IRN NHJ01009

  • [FCA CF] Client dealing (9 Dec 2019 to 8 May 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 28 Jan 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 1 Dec 2005)

No changes recorded yet.