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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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.

• Duncan Warren Valentine

  IRN DWV01007

  • [FCA CF] Client dealing (3 Mar 2023 to 13 Dec 2024)
  • [FCA CF] Material risk taker (3 Mar 2023 to 13 Dec 2024)
  • CF4 Partner (22 Mar 2013 to 1 Aug 2015)
  • CF30 Customer (13 Sep 2011 to 1 Aug 2015)
• Dustin Paul Sugasa

  IRN DPS01105

  • CF4 Partner (7 Sep 2015 to 17 Nov 2016)
  • CF30 Customer (14 Jan 2014 to 17 Nov 2016)
• Edward George Alexander Browne

  IRN EGB01030

  • [FCA CF] Client dealing (3 Mar 2023 to 31 Dec 2023)
  • [FCA CF] Material risk taker (3 Mar 2023 to 31 Dec 2023)
• Emily Locher

  IRN EXL00132

  • SMF16 Compliance Oversight (9 May 2022 to 20 Apr 2023)
• Fabio Olivier

  IRN FXO01180

  • [FCA CF] Client dealing (since 18 Nov 2022)
• Felix Cua

  IRN FXC00067

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 24 Dec 2021)
• Gaurav Ramesh Rege

  IRN GXR01284

  • [FCA CF] Client dealing (9 Feb 2024 to 28 Feb 2025)
• Gauthier Michel

  IRN GXM00556

  • [FCA CF] Client dealing (6 Apr 2023 to 20 May 2025)
• George Alexander Castrounis

  IRN GAC01056

  • CF30 Customer (12 Oct 2018 to 8 Dec 2019)
  • CF4 Partner (12 Oct 2018 to 6 Dec 2019)
• Girome Stephen Bono

  IRN GSB01056

  • [FCA CF] Material risk taker (since 1 Jan 2022)
  • [FCA CF] Client dealing (since 3 Apr 2020)

No changes recorded yet.