Wikilix
Licence record

FINRA licence recorded for NatWest Markets

Holder
NatWest Markets
Jurisdiction
United States
Licence type
Dealing in securities

This is Wikilix's record of a licence issued by The Financial Industry Regulatory Authority. It sets out what the register says, what we checked, and what the authority's own rules protect.

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Licence intelligence

RecordModified Aug 4, 2026

Licence Verification Record

The Financial Industry Regulatory Authority No number on the register

Recorded from the firm's own disclosure. Not yet checked against the register.

Issuing authority
The Financial Industry Regulatory Authority
Holder
NatWest Markets Plc
Jurisdiction
United States
Licence type
Dealing in securities

A licence record describes what an authority published. It is not an endorsement, and Wikilix does not issue authorisations.

wikilix.com/licenses/the-financial-industry-regulatory-authority/natwest-markets/licence-1738Fields on file 1 / 11

Open NatWest MarketsAbout FINRA
Our check

What we checked

Nobody has adjudicated this licence yet. It is recorded here as claimed, not as confirmed.

Wikilix check
Not checked
Authority strength
Tier 1
Jurisdiction
United States
Last checked
Never

Nobody at Wikilix has looked this licence up on the official register yet. Everything above comes from the record as supplied; treat it as a claim until you have checked it yourself.

A licence record describes what an authority published. It is not an endorsement, and Wikilix does not issue authorisations.
The register

What the authority publishes

Printed as the register prints it. A field that is missing here is one nobody has recorded, not one the register leaves blank.

Licence type (Wikilix classification)
Dealing in securities
The authority

About FINRA

The Financial Industry Regulatory Authority is the authority that issued this licence, and the jurisdiction it applies in is United States.

Full name
The Financial Industry Regulatory Authority
Jurisdiction
United States
Strength
Tier 1The strictest regimes: high capital requirements, segregated client money and a compensation scheme.
Established
2007
Oversight
A government or statutory body
Firms we track under it
0 firms
Licences it issues
Broker‑Dealer (SRO) Membership
Typical cost of a licence
USD 150000+
Public register
No public register published
Transparency
High
Protection

What this licence protects

FINRA's own rules for the firms it authorises.

  • Compensation schemeUp to USD 500000 (SIPC)
  • Complaints routeFINRA Arbitration
  • Maximum leverage1:50
This describes the authority's regime, not how NatWest Markets applies it.
The holder

Who holds this licence

The licence above is recorded against NatWest Markets. A licence is issued to a legal company, so the companies below are what you would search a corporate register for.

Broker
NatWest Markets Plc
Based in
United Kingdom
Wikilix score
74.6the firm’s overall score, not a rating of this licence

Wikilix records NatWest Markets as having no regulation on file. That is a finding about the firm, not about this licence — the register’s own wording above is what states this entry’s standing.

Recorded companies

None of these matches the name the register printed, so we do not say which one holds this licence.

  • NATWEST MARKETS PLCUnited Kingdom · Reg. SC090312
  • NATWEST GROUP PLCUnited Kingdom · Reg. SC045551
Provenance

Where this record came from

Every date below has already happened. We do not publish a promised next-update date, because we do not schedule per-licence re-checks.

Last checked by Wikilix
Never — nobody has looked this entry up yet
Record last edited
When this entry was last changed in our database, which may be a correction rather than a change at the register.
Wikilix records what an authority published. It does not issue or endorse authorisations.
Also on record

Other licences NatWest Markets holds

3 other licences are on record for NatWest Markets.

Frequently Asked Questions

Questions about this licence

Answered from this register entry and the authority’s own record.

Most Popular Questions
NatWest Markets does not publicly disclose maximum leverage as it customizes leverage levels for institutional clients.
Deposits and withdrawals at NatWest Markets can be made using debit cards, bank transfers, and Post Office deposits. Debit card transactions are instant, while bank transfers and Post Office transactions take several hours. Fees may apply for foreign ATM withdrawals, international debit card usage, and international payments.
NatWest Markets provides trading through proprietary platforms tailored for institutional clients. Additionally, it supports MetaTrader 5, a multi-asset platform known for advanced analytics and algorithmic trading.
NatWest Markets Plc is regulated by multiple top-tier authorities including the UK's Financial Conduct Authority (FCA), the US Financial Industry Regulatory Authority (FINRA), Japan's Financial Services Agency (FSA), and Singapore's Monetary Authority of Singapore (MAS). It holds various licenses for investment advisory and securities dealing. Client funds are protected up to £85,000 under FSCS in the UK and up to USD 500,000 under SIPC in the US.
NatWest Markets holds this FINRA licence. A licence on record means the authority published an entry; it is not an endorsement.
Nobody at Wikilix has looked this entry up on the FINRA register yet, so treat it as claimed rather than confirmed. That is a gap in our coverage, not a finding against the licence.
Wikilix rates FINRA tier 1 — the strictest band, with high capital requirements, segregated client money and a compensation scheme.
NatWest Markets has 3 other licences on record with Wikilix, across 3 jurisdictions. They are listed further down this page.
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