Numis Securities Limited

Date authorised
1 April 2013
Companies House
02285918
Last scraped
3 weeks ago
Watch for changes

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
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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.

  • Andrew Gollan

    IRN APG01051

    • CF30 Customer (1 Nov 2007 to 6 Jul 2009)
    • CF21 Investment Adviser (23 Apr 2003 to 31 Oct 2007)
  • Andrew James Wintle

    IRN AJW01264

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2002)
  • Andrew John Burnett

    IRN AJB01331

    • CF1 Director (21 Apr 2005 to 18 Jul 2005)
    • CF21 Investment Adviser (5 May 2004 to 18 Jul 2005)
  • Andrew John Dalton

    IRN AJD01307

    • CF30 Customer (17 Jul 2008 to 10 Sep 2008)
  • Andrew Joseph Dawber

    IRN AJD01150

    • CF21 Investment Adviser (29 Nov 2004 to 29 May 2007)
    • CF1 Director (29 Nov 2004 to 1 Dec 2005)
  • Andrew Lenton Heath

    IRN ALH01028

    • CF30 Customer (1 Nov 2007 to 25 Nov 2008)
    • CF1 Director (4 Sep 2006 to 25 Nov 2008)
    • CF21 Investment Adviser (4 Sep 2006 to 31 Oct 2007)
  • Andrew Mark Holloway

    IRN AMH01210

    • SMF3 Executive Director (9 Dec 2019 to 25 Sep 2025)
    • SMF2 Chief Finance (9 Dec 2019 to 25 Sep 2025)
    • CF1 Director (8 Jan 2018 to 8 Dec 2019)
    • CF10a CASS Oversight function (8 Jan 2018 to 11 Jul 2018)
    • CF30 Customer (30 Oct 2009 to 8 Dec 2019)
  • Andrew Mark Wade

    IRN AMW01164

    • CF30 Customer (9 Jun 2008 to 12 Aug 2019)
  • Andrew Michael Cox

    IRN AMC01163

    • CF30 Customer (7 Aug 2009 to 1 Apr 2011)
  • Andrew Paul Louis Hackney

    IRN APH01145

    • CF30 Customer (23 Sep 2013 to 3 Jul 2018)
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Recent activity

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

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