Capital Financial Markets Limited

• Principal Place of Business

  8 Spicer Street

  St Albans

  Hertfordshire

  AL3 4PQ

  UNITED KINGDOM

  Phone

  +4402036970560

  Web

  https://www.capitalfinancialmarkets.co.uk

• Complaints Contact

  8 Spicer Street

  St Albans

  AL3 4PQ

  UNITED KINGDOM

  Phone

  +442036970560

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• 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, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Andrew Dean Stancliffe

  IRN ADS01085

  • SMF3 Executive Director (9 Dec 2019 to 19 Aug 2022)
  • CF1 Director (12 Nov 2018 to 8 Dec 2019)
• Barrie John Newton

  IRN BJN01005

  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • Sole trader dealing with clients for which they require qualification (since 1 Jan 2020)
  • CF30 Customer (15 Nov 2018 to 8 Dec 2019)
• Emma Charlotte Tuckett

  IRN EXT00148

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 12 Jan 2026)
• Michael John Lawless

  IRN MJL01122

  • CF30 Customer (18 Sep 2017 to 8 Dec 2019)
• Michael William Moreland Parsey

  IRN MWP00004

  • CF30 Customer (12 Apr 2017 to 18 Jul 2018)
• Nigel Withey

  IRN NXW01425

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 8 Jul 2023)
  • CF2 Non Executive Director (12 Apr 2017 to 8 Dec 2019)
• Paul Jamie Coffin

  IRN PJC01178

  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • 16. Safeguarding and administering investments or holding client money
  • 9. Advising on syndicate participation at Lloyd's
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 3. Giving personal recommendations on derivatives
  • 10. Broker fund adviser
  • [FCA CF] Client dealing (since 1 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
  • [FCA CF] Manager of certification employee (since 1 Jan 2020)
  • [FCA CF] Significant management (since 1 Jan 2020)
  • [PRA CF] Key function holder (since 1 Jan 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF10 Compliance Oversight (12 Apr 2017 to 8 Dec 2019)
  • CF30 Customer (12 Apr 2017 to 8 Dec 2019)
  • CF1 Director (12 Apr 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (12 Apr 2017 to 8 Dec 2019)
• Peter Graeme Land

  IRN PGL01009

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 29 May 2023)
  • [FCA CF] Functions requiring qualifications (since 29 May 2023)
• Robin George Boyle

  IRN RGB01052

  • CF30 Customer (9 Jul 2018 to 31 Mar 2019)
• Stephen William Lovelock

  IRN SWL01028

  • 17. Administrative functions in relation to managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • Sole trader dealing with clients for which they require qualification (since 1 Jan 2020)
  • CF30 Customer (1 Dec 2017 to 8 Dec 2019)

No changes recorded yet.