CAPSTONE INVESTMENT ADVISORS (UK), LLP

• Principal Place of Business

  UK House

  2nd Floor

  2 Great Titchfield Street

  London

  W1D 1NN

  UNITED KINGDOM

  Phone

  +442035149024

  Web

  https://www.capstoneco.com

• Complaints Contact

  UK House

  2nd Floor

  2 Great Titchfield Street

  London

  W1D 1NN

  UNITED KINGDOM

  Phone

  +442035149024

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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 Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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.

• . Capstone Investment Advisors

  IRN XXC01166

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (5 Jul 2010 to 8 Dec 2019)
• Adam Bensley

  IRN AXB03280

  • CF10 Compliance Oversight (5 Oct 2016 to 1 Jun 2019)
• Adam Iqbal

  IRN ASI01013

  • [FCA CF] Material risk taker (18 Nov 2022 to 22 Aug 2025)
  • [FCA CF] Client dealing (18 Nov 2022 to 22 Aug 2025)
• Adam Scott Tillman

  IRN AST01060

  • CF30 Customer (26 Feb 2010 to 31 Jul 2013)
• Aditya Dev Prahlad

  IRN ADP01108

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2021)
  • CF4 Partner (28 Jun 2017 to 6 Dec 2019)
  • CF30 Customer (22 Dec 2014 to 8 Dec 2019)
• Akshat Shrivastava

  IRN AXS02866

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Mar 2023)
  • CF30 Customer (6 Sep 2019 to 8 Dec 2019)
• Alessandro Carraro

  IRN AXC01810

  • CF30 Customer (19 Feb 2010 to 30 Aug 2011)
• Alessandro Paolo Luigi Cipollini

  IRN APC01162

  • CF30 Customer (23 Sep 2013 to 28 Jul 2014)
• Alistair Mark Heaton-Armstrong

  IRN AMH01163

  • CF4 Partner (12 Feb 2013 to 31 Mar 2014)
  • CF10 Compliance Oversight (2 Feb 2009 to 31 Mar 2014)
  • CF30 Customer (19 Sep 2008 to 31 Mar 2014)
  • CF3 Chief Executive (19 Sep 2008 to 30 Jun 2010)
• Andrei Boros

  IRN AXB02228

  • CF4 Partner (20 Nov 2017 to 6 Dec 2019)
  • CF30 Customer (28 Sep 2017 to 8 Dec 2019)

No changes recorded yet.