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.

• Roger Brian Tejwani

  IRN RBT01014

  • CF30 Customer (1 Nov 2007 to 9 Apr 2008)
  • CF21 Investment Adviser (4 Dec 2006 to 31 Oct 2007)
• Roger Peter Johnston

  IRN RPJ01025

  • CF30 Customer (1 Nov 2007 to 27 Mar 2009)
  • CF21 Investment Adviser (5 Oct 2006 to 31 Oct 2007)
• Romy Nicole Abrahams

  IRN RNA01018

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2023)
• Rory Hugh Longdon

  IRN RHL01033

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (12 Aug 2015 to 8 Dec 2019)
• Ross James Mitchinson

  IRN RJM01233

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF3 Chief Executive (1 Sep 2016 to 8 Dec 2019)
  • CF1 Director (30 Apr 2012 to 8 Dec 2019)
  • CF30 Customer (10 Dec 2008 to 8 Dec 2019)
• Ross Sullivan

  IRN RXS01286

  • CF21 Investment Adviser (4 Oct 2005 to 23 Jun 2006)
• Ruaidhri Carmody

  IRN RXC01824

  • CF30 Customer (4 Apr 2011 to 10 Oct 2016)
• Sally Anne Taylor

  IRN SAT01074

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Aug 2020)
  • CF30 Customer (24 Mar 2014 to 8 Dec 2019)
• Samuel Mountford Murphy

  IRN SMM01200

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (9 Jun 2014 to 8 Dec 2019)
• Sanjeev Bahl

  IRN SXB02012

  • CF30 Customer (1 Sep 2008 to 16 Oct 2015)

No changes recorded yet.