NatWest Markets Securities Inc. (NWMSI) is a registered broker-dealer located in Stamford, Connecticut, USA. Securities business in the United States is conducted through NatWest Markets Securities Inc. a FINRA registered broker-dealer, a SIPC member and a wholly owned indirect subsidiary of NatWest Markets Plc.
To help our clients with their assessment and selection of a futures commission merchant, we’re making specific disclosure documents and financial information available, as required by the Commodity Futures Trading Commission.
Financial information regarding NatWest Markets, including how it invests and holds customer funds, may be obtained from the National Futures Association at www.nfa.futures.org/basicnet/.
Additional information on all futures commission merchants is available from the Commodity Futures Trading Commission at www.cftc.gov/marketreports/financialdataforfcms/index.htm.
As of December 31 2020, NatWest Markets Securities Inc. (NWMSI) completed the exit of its client clearing and execution business for exchange-traded derivatives (including US futures execution and clearing clients and European futures execution and clearing clients, previously serviced through NWMSI on behalf of its affiliates, NatWest Markets Plc and NatWest Markets N.V.). NWMSI continues to execute and clear CME futures and options contracts as necessary in relation to NWM’s house futures business (including EFRPs and Block trades).