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NatWest Markets
NatWest Markets Securities Inc.
NatWest Markets Securities Inc. is registered as a broker-dealer in Stamford, Connecticut, USA.
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.
Statements
Statement of Financial Condition 31 December 2023 (PDF)
Statement of Financial Condition 30 June 2023 (PDF)
Statement of Financial Condition 31 December 2022 (PDF)
Statement of Financial Condition 30 June 2022 (PDF)
Statement of Financial Condition 31 December 2021 (PDF)
Statement of Financial Condition 30 June 2021 (PDF)
Statement of Financial Condition 31 December 2020 (PDF)
Statement of Financial Condition 30 June 2020 (PDF)
Statement of Financial Condition 31 December 2019 (PDF)
Statement of Financial Condition 30 June 2019 (PDF)
Statement of Financial Condition 31 December 2018 (PDF)
Statement of Financial Condition 30 June 2018 (PDF)
Statement of Financial Condition 31 December 2017 (PDF)
Statement of Financial Condition 30 June 2017 (PDF)
Statement of Financial Condition 31 December 2016 (PDF)
Disclosures
Pre-Hedging / Hedging Disclosure
NatWest Markets transacts and makes markets in various financial products and instruments. Unless otherwise expressly agreed or required, NatWest Markets executes these transactions with you strictly as principal and not as an agent. NatWest Markets does not act a fiduciary or financial advisor on your behalf in relation to these transactions.
Any and all information provided by you or your firm to NatWest Markets, in accordance with law and regulation, can be used by NatWest Markets for, but not limited to, engaging in pre-hedging or hedging transactions, without further disclosure to you. The purpose of pre-hedging and hedging transactions is to manage risk, facilitate order execution, and minimize market impact. Pre-hedging and hedging transactions can be executed before, during, and after receiving information from you or your firm about a potential or live transaction. The pre-hedging and hedging transactions that are entered into by NatWest Markets may affect the market prices or rates of, or liquidity for the financial products or instruments you are buying or selling, and may result in a profit or loss to NatWest Markets.
Related links and Downloads
For information on our US broker-dealer:
Futures commission merchant
For more information related to our Futures commission merchant status, click here.
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