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.

• Simon John Elvidge

  IRN SJE01052

  • CF10 Compliance Oversight (7 Sep 2009 to 30 Sep 2010)
  • CF11 Money Laundering Reporting (7 Sep 2009 to 30 Sep 2010)
• Simon Marc Schaffer

  IRN SMS01095

  • CF30 Customer (3 Jan 2008 to 10 Oct 2008)
• Simon Max Blank

  IRN SMB01145

  • CF30 Customer (1 Nov 2007 to 26 May 2011)
  • CF21 Investment Adviser (4 Jun 2007 to 31 Oct 2007)
• Simon Philip Toyne

  IRN SPT01051

  • CF30 Customer (1 Nov 2007 to 2 Apr 2009)
  • CF21 Investment Adviser (18 Apr 2006 to 31 Oct 2007)
• Simon Timothy Denyer

  IRN STD01022

  • CF10a CASS Oversight function (1 Oct 2011 to 8 Jan 2018)
  • CF1 Director (31 Dec 2008 to 8 Jan 2018)
• Simon William Gandon

  IRN SWG01017

  • SMF18 Other Overall Responsibility (since 4 Mar 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (15 Apr 2005 to 1 Dec 2005)
  • CF26 Customer Trading (5 Jan 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (5 Jan 2004 to 31 Oct 2007)
• Simon Willis

  IRN SAW01100

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Mar 2026)
  • CF30 Customer (22 Nov 2010 to 8 Dec 2019)
• Sophie Falk

  IRN SXF00258

  • [FCA CF] Client dealing (6 Sep 2021 to 24 Nov 2023)
• Spencer Clark

  IRN SXC00494

  • [FCA CF] Client dealing (since 7 Sep 2020)
• Stefan John Hamill

  IRN SJH01350

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Aug 2022)
  • CF30 Customer (14 Jan 2016 to 8 Dec 2019)

No changes recorded yet.