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.

• John Hall

  IRN JXH02304

  • [FCA CF] Client dealing (22 Dec 2021 to 1 Jun 2022)
  • CF30 Customer (13 Sep 2010 to 7 Jan 2013)
• John Moffatt

  IRN JXM02648

  • [FCA CF] Material risk taker (since 1 Jan 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF4 Partner (12 Feb 2013 to 6 Dec 2019)
  • CF30 Customer (4 Nov 2008 to 8 Dec 2019)
• Jonathan Edward Hugh Sorrell

  IRN JXS01623

  • [FCA CF] Material risk taker (1 Jan 2022 to 10 Dec 2024)
  • SMF27 Partner (8 Jun 2020 to 30 Jun 2025)
• Kanishk Sarin

  IRN SXK01514

  • CF30 Customer (15 Jun 2016 to 13 Jul 2017)
• Kannan Niththyananthan

  IRN KXN01029

  • [FCA CF] Material risk taker (since 1 Jan 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF4 Partner (28 Feb 2013 to 6 Dec 2019)
  • CF30 Customer (18 Dec 2009 to 8 Dec 2019)
• Katrina Paglia

  IRN KXP17129

  • SMF16 Compliance Oversight (9 Dec 2019 to 11 Mar 2022)
  • CF10 Compliance Oversight (16 Sep 2019 to 8 Dec 2019)
• Laurena Oledimmah

  IRN LXO01157

  • CF10 Compliance Oversight (24 Jun 2015 to 1 Sep 2016)
  • CF11 Money Laundering Reporting (24 Jun 2015 to 1 Sep 2016)
• Lee Paul Scales

  IRN LPS01012

  • [FCA CF] Client dealing (9 May 2023 to 31 Oct 2024)
• Luqiong Meng

  IRN LXM01676

  • [FCA CF] Client dealing (since 22 Feb 2022)
• Magrino Bini

  IRN MXB02349

  • CF30 Customer (23 Nov 2010 to 11 Apr 2011)

No changes recorded yet.